The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. Assists with secondary review of high-risk filings and matters and provides feedback and guidance to less experienced staff. Provides assistance and support to senior staff and management in the areas of workflow management, quality control, training, and supervision.
Essential Job Functions:
Conducts routine and complex assessments and analyses of FINRA firms’ corporate financing filings and related investigative matters.
Independently prepares well-written correspondence and analyses. Monitors workflow and task completion.
Coordinates and leads discussions with filers and other FINRA staff on compliance or regulatory trends and concerns.
Conducts secondary review of high-risk filings and investigative matters of public offerings and/or private placements by providing critical analysis and recommendations for dispositions and feedback on work product.
Provides subject matter expertise and guidance to other FINRA staff in connection with examinations and investigations.
Conducts training and mentors junior staff.
Participates in developing responses to inquiries from members, attorneys, internal stakeholders, the SEC, Exchanges, and the public.
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, for internal events. Other job-related special projects as necessary.
Education/Experience Requirements:
Bachelor's degree and a minimum of seven years of related industry experience
Demonstrated ability to work independently and in groups.
Work experience showing successful use of analytic and organizational skills required.
Excellent oral and written communication skills.
Knowledge of various types of securities and broker-dealer services and methods of capital raising required.
In-depth knowledge of FINRA, SEC and other applicable rules and interpretations governing capital raising required.
Working Conditions:
Hybrid work environment, with defined in-person presence requirements.
Hours may extend beyond normal business hours.
Travel will be required, as necessary.
For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA 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.
Boston, MA: $112,300 - $202,500
Chicago, IL: $107,500 - $194,100
Denver, CO: $97,700 - $176,100
Jericho, NY: $112,300 - $202,500
Jersey City, NJ: $117,200 - $211,400
Philadelphia, PA: $107,500 - $194,100
New York, NY: $117,200 - $211,400
Rockville, MD: $112,300 - $202,500
Tysons, VA: $112,300 - $202,500
Washington, DC: $112,300 - $202,500
Woodbridge, NJ: $112,300 - $202,500
Connecticut State: $97,700- $211,400
Washington State: $97,700- $211,400
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.
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