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Public Offerings Senior Analyst - Corporate Financing - Rockville, MD

RockvilleFINRA


We Work to Protect Investors. Join our Team.

 

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Public Offerings Senior Analyst, Corporate Financing 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.

 

Job Summary: 


The Senior Analyst position in the Corporate Financing Department requires the analysis of complex public offering transactions. The Senior Analyst must effectively communicate potential rule violations and the status of reviews with attorneys in telephone calls and through comment letters.   The Senior Analyst is also responsible for developing investigative matters for potential rule violations of the Corporate Financing Rules. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing new skills, and working under limited supervision.

 

To be considered for this position, please submit the following:

  • A cover letter outlining your interest in the role, your qualifications and how your skills translate to the role, and what you can contribute to the organization.
  • Your current resume.
  • Please note that a writing sample may be required as part of the submission. 

Essential Job Functions:

  • Identifies and analyzes regulatory issues in public offerings and reviews proposed underwriting arrangements for compliance with FINRA and SEC rules as well as federal securities laws.
  • Conducts independent investigations and develops cases related to potential violations of the Corporate Financing Rules which are initiated by Corporate Financing staff.  Provides assistance to other FINRA Departments and/or coordinates with other external securities regulators.
  • Prepares comment letters, memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from public offering filing reviews, public offering investigations and spot checks.
  • Communicates FINRA rules and policies to counsel and other securities industry parties.
  • Assists in conducting on-site examinations of members’ corporate financing activities in conjunction with a routine or special examination.  Supports On-the-Record interviews conducted by the Department of Enforcement.
  • Prepares reports and presentations for other Departments and senior management. 
  • Responds to telephone inquiries from attorneys, members, issuers, the SEC, state securities regulators, other FINRA Departments, and the public regarding public offerings of securities.

Other Responsibilities:

  • Maintains a high degree of familiarity with department responsibilities, practices and industry guidelines, including regulations affecting public offerings of securities.
  • Participates in department projects.

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