FINRA is hiring: Principal Analyst, Advertising Regulation in Los Angeles

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior Director in the areas of quality control, training and supervision. Essential Job Functions: Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications. Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies. Documents analyses and writes correspondence. As needed, participates with other FINRA staff in on‑site reviews and examinations and assists in all aspects of the disciplinary process. Assists immediate manager in final sign‑off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions. Provides staff with training, coaching, advice and feedback on performance. Monitors work flow and task completion. Informs immediate manager of new issues and practices which may lead to policy changes. Provides timely input on team member performance appraisals. Communicates regulatory and administrative information to team members. Answers questions from team members and external customers including other FINRA employees and firms. Demonstration of FINRA’s values. Collaboration, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities: Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring department input and participation. Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings. Other job related special projects as necessary. Education/Experience Requirements: Bachelor's degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst. Demonstrated ability to work independently and in groups. Work experience showing successful use of analytic and organizational skills required. Excellent demonstrated oral and written communication skills. Knowledge of various types of securities and broker‑dealer services and methods of marketing required. In‑depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising required. Competency with desktop computers and Microsoft Word. Work Conditions: Hybrid work environment, with defined in‑person presence requirements. Occasional travel may be required for participation in on‑site examinations, provision of expert testimony, presentations at conferences and meetings with other regulators. Some extended hours may be required. For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. Los Angeles, CA: Minimum Salary $112,300, Maximum Salary $142,430 San Francisco, CA: Minimum Salary $117,200, Maximum Salary $148,622 CO/FL/TX: Minimum Salary $95,300, Maximum Salary $171,800 IL/PA: Minimum Salary $104,900, Maximum Salary $189,400 MA/MD/VA/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600 NY/NJ: Minimum Salary $109,600, Maximum Salary $206,200 #LI‑Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. 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. Employees may be eligible for a discretionary bonus in addition to base pay. Non‑exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short‑ and long‑term disability, long‑term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA‑funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time‑off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro‑rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full‑time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full‑time employees receive nine paid holidays. *Based on full‑time schedule Important Information 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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker‑dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e‑feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e‑feed within three months of beginning employment. You can read more about these restrictions here. As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. 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 Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. 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 Employee Relations team at 240‑386‑4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60‑741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60‑300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. #J-18808-Ljbffr In Summary: FINRA provides comprehensive health and vision insurance . Compensation is based on various factors including skill set, level of experience, education, and market considerations . For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, VA, Washington, DC, NY and NJ, please refer to the salary range for the corresponding location . En Español: Realiza análisis complejos de las comunicaciones con el público tanto independientemente como en conjunto con otros departamentos y organismos reguladores de la FINRA. Provee asistencia y apoyo al director asociado, director y director superior en los ámbitos del control de calidad, capacitación y supervisión. Funciones esenciales del trabajo: realiza evaluaciones rutinarias y complejas y analíticas, incluidas verificaciones pontuales, de las comunicación de las empresas de la Finra. Participa y coordina evaluación conjunta de las Comunicaciones con otras agencias y demás agencias regulatorias. Analiza documentos y escribe correspondencia. Si es necesario, participa junto con otro personal de la finra en revisiones e exámenes in situ y asesoramiento disciplinario en todos los aspectos del proceso administrativo. Asiste a un gerente en la firma final de comentarios para garantizar la precisión de las aplicaciones, la exactitud de los procesos, provee consejería de información sobre su desempeño y proporciona asesoría técnica, así como orientación y formación apropiada sobre sus disposiciones. Monitoriza el flujo de trabajo y la finalización de las tareas. Informe al gerente inmediato sobre nuevos temas y prácticas que puedan conducir a cambios en políticas. Proporciona información oportuna sobre evaluaciones del desempeño de los miembros del equipo. Comunica información reguladora y administrativa a los integrantes del grupo. Responde a preguntas de los socios del equipo y clientes externos, incluidos otros empleados y empresas de FINRA. Demostración de los valores de Finra. Colaboración, tanto en persona como virtualmente, para promover la misión de protección de inversores e integridad del mercado. Otras responsabilidades: Asiste al director inmediato con proyectos especiales tales como desarrollo de nuevas reglas o interpretaciones, planificación, modificaciones procesales o administrativas e iniciativas departamentales que requieren entrada y participación. Representa al Departamento, incluyendo compromisos de hablar, en conferencias públicas de política regulatoria y reuniones. Excelentes habilidades de comunicación oral y escrita demostradas. Se requieren conocimientos sobre varios tipos de servicios de valores y broker-dealer, así como métodos de comercialización. Es necesario un profundo conocimiento de las reglas e interpretaciones de la FINRA, SEC, MSRB y SIPC que rigen la publicidad. Competencia con computadoras de escritorio y Microsoft Word. Condiciones de trabajo: entorno laboral híbrido, con requisitos definidos de presencia en persona. Puede requerirse viajes ocasionales para participar en exámenes in situ, prestar testimonios de expertos, presentarse en conferencias y reuniones con otras autoridades reguladoras. Además de la ubicación, la compensación real se basa en varios factores, incluidos pero no limitados a: el conjunto de habilidades del candidato, nivel de experiencia, educación y consideraciones del mercado. Los Ángeles, CA: Salario mínimo $112.300, Salario máximo $142.430 San Francisco, California: Salarios mínimos $117.200, Salarios máximos $148.622 CO/FL/TX: Salaries mínimas $95.300, Salaries máximas $171.800 IL / PA: Salares mínimas $104.900, Salaries maxima $189.400 MA/VA/MD/Washington, DC: Salariz mínima $199.600 El seguro adicional incluye la vida básica, el fallecimiento accidental y desmembramiento, la vida suplementaria, el cónyuge/pareja doméstica y la vida dependiente, así como los beneficios que apoyan el bienestar, tales como asistencia por adopción, cuidados familiares de respaldo, prestaciones de maternidad sustitutas, ayuda al empleado y programas de bienestar. Los empleados a tiempo completo reciben nueve vacaciones remuneradas. *Basándose en el horario de jornada completa Información importante El Código de Conducta de FINRA impone restricciones a las inversiones de los empleados y requiere divulgaciones financieras que estén exclusivamente relacionadas con nuestro papel como regulador de valores. Se requieren que los trabajadores de Finra den a conocer a la FINRA todas las cuentas de corretaje que mantengan, y aquellas en las cuales controlan operaciones o tengan un interés financiero (incluyendo cualquier cuenta fiduciaria del cual sean fideicomisarios o beneficiarios y todas las Cuentas de un cónyuge, pareja doméstico o menor de edad que viva con el empleado) y autorizar a sus corredores a proporcionarle a FINRA declaraciones duplicadas para todas esas cuentas. Todas estas cuentas están sujetas a las restricciones de inversión y valores del Código, y los nuevos empleados deben cumplir con dichas prohibiciones de obtener cuentas, incluida la eliminación de garantías emitidas por una empresa ejecutiva de FINSA desde la fecha en que comiencen su empleo. Los empleados solo pueden mantener cuentas de valores que deben ser divulgadas a la FINRA en una o más firmas de valor que proporcionan un suministro electrónico (e-feed) de datos a la Finra, y deben transferir cuotas de valores de otras empresas de valores a una empresa que provee un correo electrónico dentro de los tres meses siguientes al inicio del empleo. Puede leer más sobre estas restricciones aquí. Todos los curriculum vitae presentados por las empresas de búsqueda a cualquier empleado de FINRA sin un acuerdo escrito válido y una orden de tareas en vigor se considerarán propiedad exclusiva de la FINRA y no se pagará ninguna cuota si esa persona es contratada por la Finra. La FINRA es un Empleador de Igualdad de Oportunidades Todos los solicitantes calificados reciben consideración para el empleo sin importar ninguna categoría legalmente protegida, incluida raza, color, edad, origen nacional, etnia, religión, discapacidad, información genética, estatus militar o veterano, sexo u otra condición o clasificación protegido por ley estatal o local. Este reglamento prohíbe la discriminación contra veteranos protegidos calificados y requiere que los contratistas primarios y subcontratistas cubiertos actúen afirmativamente para contratar y avanzar en el empleo a veteranos certificados. © 2026 FINRA. Todos los derechos reservados.