Associate Principal Analyst, Corporate Financing

FINRA•Rockville, MD

1d•Hybrid

About The Position

The Associate Principal Analyst in Corporate Financing is responsible for conducting reviews and investigative matters, on all public offering and/or private placement filings subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. The role includes assisting with secondary reviews of high-risk filings and matters, providing feedback and guidance to less experienced staff, and supporting senior staff and leadership in the areas of workflow management, quality control, training, and supervision. This position is for a professional-level individual contributor who works under moderate supervision.

Requirements

Bachelor’s degree in Finance, Accounting, Business, or related field and at least five (5) years of related industry experience.
Excellent oral and written communication skills.
Knowledge of various types of securities and broker-dealer services and methods of capital raising required.
Substantial knowledge of FINRA and SEC rules governing corporate financing activity.
Academic courses or work experience showing successful use of analytical skills is preferred.
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.
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.

Responsibilities

Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.
Analyzes filings for potential violations of rules, regulations, statutes, and policies.
Drafts well-written correspondence and analysis.
Delivers high-quality work product that requires minimal correction.
Monitors workflow and task completion.
Conducts secondary reviews and investigations of public offerings and/or private placements by providing critical analysis and recommendations for dispositions and feedback on work products.
Participates in initiatives, projects, and processes and advises on routine matters related to work area and other initiatives.
Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to senior leaders for advice, awareness, or reporting purposes.
Coaches more junior colleagues on technical knowledge, processes and responsibilities.
Participates in and contributes to internal and external meetings related to assigned work.
Demonstrates the culture of intelligence, integrity, professionalism, and initiative in day-to-day interactions with the team.
Monitors and reports developments and trends in products and capital-raising activity to supervisors and senior management.
Participates in discussions and development of technology enhancements and other areas that support operational efficiency across assigned work.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Represents the Department through speaking engagements and presentations for internal events.

Benefits

Discretionary bonus
Overtime pay
Comprehensive health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays