Advertising Analyst - Advertising Regulation - Rockville, MD
Finra - Rockville, MD

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We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Advertising Analyst opening in Rockville,MD To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
      Major Purpose of Job:

      Reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations.

      Essential Job Functions: · Reviews communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program, provides written comments on whether this material complies with applicable rules and provides revisions necessary to bring the sales material into compliance.
      · Responds to letters and telephone inquiries regarding filing reviews and comments.
      · Attends weekly and monthly staff meetings.
      · Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies.
      · Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process.
      · Learns and keeps up-to-date on changes in rules and regulations which impact advertising, new types of investment products and new techniques used to market securities products and services.
      · Assists investigators in analysis of sales material received as a complaint or inquiry from the public, firms, district offices or other regulatory organizations.
      Other Responsibilities:
      · Performs special projects at the request of the Vice President, directors, or supervisors including but not limited to reviewing prospectuses and websites for requested information, reviewing statistical data for accuracy and reviewing correspondence.
      · Assists in the preparation of related materials for Department outreach programs.
      Qualifications
      Education/Experience Requirements:

      Level 43 - Bachelor's degree plus one year of related industry experience, or equivalent business experience; or successful completion of at least 9 months as an Advertising Regulation Department Analyst-Trainee. Academic courses or work experience showing successful use of analytical skills preferred. Excellent demonstrated oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred. Competency with desktop computers and Microsoft Word.

      Level 44 - Bachelor's degree plus two years of related industry experience, or equivalent business experience; or successful completion of at least 15 months as an Advertising Regulation Department Associate Analyst. Academic courses or work experience showing successful use of analytical skills preferred. Excellent demonstrated oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred. Competency with desktop computers and Microsoft Word.

      Level 45 - Bachelor's degree plus four years of related industry experience, or equivalent business experience; or successful completion of at least two years as an Advertising Regulation Department Analyst. Academic courses or work experience showing successful use of analytical skills preferred. Excellent demonstrated oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and methods of marketing required. Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred. Competency with desktop computers and Microsoft Word.

      Working Conditions:
      • Work is normally performed in an office environment.
      • Occasional travel may be required.
      • Extended hours may be required.
      To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

      The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

      Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

      FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

      In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

      Please note: FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

      About FINRA

      The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

      FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

      FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

      In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

      F ind out more about us and how we work—and view our current openings—at www.finra.org/careers .

      Search Firm Representatives

      Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

      FINRA is an Equal Opportunity and Affirmative Action Employer

      ©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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      FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA...