Principal Analyst, Corporate Financing

FINRA•Rockville, MD

15h•Hybrid

About The Position

The Principal Analyst in Corporate Financing independently conducts analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rules 5110, 5121, 2310, 5122, and 5123. The role also performs secondary reviews of high-risk filings and matters, providing critical analysis, disposition recommendations, and feedback to less experienced staff. The Principal Analyst supports senior staff and management with workflow management, quality control, training, and supervision. The position works collaboratively with FINRA staff and external stakeholders on compliance and regulatory matters, contributes to examinations and investigations, and helps develop responses to inquiries. It may also support special projects, rule or interpretation development, procedural changes, corporate initiatives, and internal speaking engagements. This is a hybrid position with defined in-person presence requirements. Hours may extend beyond normal business hours, and travel may be required as necessary. Compensation varies by location and candidate qualifications. Employees may be eligible for a discretionary bonus in addition to base pay.

Requirements

Bachelor’s degree.
At least seven years of related industry experience.
Demonstrated ability to work independently and in groups.
Work experience demonstrating successful use of analytical and organizational skills.
Excellent oral and written communication skills.
Knowledge of various types of securities, broker-dealer services, and methods of capital raising.
In-depth knowledge of FINRA, SEC, and other applicable rules and interpretations governing capital raising.

Responsibilities

Conduct routine and complex assessments and analyses of FINRA firms’ corporate financing filings and related investigative matters.
Independently prepare well-written correspondence and analyses.
Monitor workflow and task completion.
Coordinate and lead discussions with filers and other FINRA staff about compliance or regulatory trends and concerns.
Conduct secondary reviews of high-risk public offering and/or private placement filings and investigative matters, providing critical analysis, disposition recommendations, and feedback on work product.
Provide subject matter expertise and guidance to FINRA staff in connection with examinations and investigations.
Conduct training and mentor junior staff.
Participate in developing responses to inquiries from members, attorneys, internal stakeholders, the SEC, Exchanges, and the public.
Demonstrate FINRA’s values and collaborate in person and virtually in support of investor protection and market integrity.
Assist the immediate manager with special projects, including new rules or interpretations, planning, procedural or administrative modifications, and corporate initiatives requiring Department input and participation.
Represent the Department, including through speaking engagements at internal events.
Complete other job-related special projects as necessary.

Benefits

Comprehensive health insurance.
Dental insurance.
Vision insurance.
Basic life insurance and additional life insurance options.
Accidental death and dismemberment insurance.
Short- and long-term disability insurance.
Long-term care insurance.
Business travel accident insurance.
Legal insurance.
401(k) plan with company match and immediate participation and vesting.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance.
Backup family care.
Surrogacy benefits.
Employee assistance and wellness programs.
Paid time off starting at 15 days, increasing with years of service up to 25 days.
Five personal days and nine sick days, prorated in the first year as applicable.
Two volunteer service days for employees on a full-time schedule.
Military, jury duty, bereavement, voting and election official, family member care, childbirth, and parental leave, subject to stated eligibility and availability terms.
Nine paid holidays for full-time employees.
Employees who are non-exempt are eligible for overtime pay in accordance with applicable law.
Employees may be eligible for a discretionary bonus in addition to base pay.