Teams at FINRA

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.

Conduct qualitative market research and regulatory risk analysis to inform regulatory strategy. Produce regular reports, presentations, and SWOT analyses for senior leadership and Surveillance business lines. Support SEC inspections, internal audits, cross‑organization responses to market events, and enterprise risk assessments. Collaborate with stakeholders to prioritize issues and develop strategic goals.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.