Principal Analyst, Corporate Financing

FINRA•Rockville, MD

2d•$97,700 - $211,400•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 includes secondary review of high-risk filings and matters, providing critical analysis, disposition recommendations, and feedback to less experienced staff. The Principal Analyst also supports senior staff and management with workflow management, quality control, training, and supervision. The position works collaboratively with FINRA staff and external parties on compliance and regulatory trends and concerns, provides subject matter expertise in examinations and investigations, and contributes to responses to inquiries from members, attorneys, internal stakeholders, the SEC, Exchanges, and the public. It may also involve special projects related to rules, interpretations, planning, procedures, administration, and corporate initiatives. The work environment is hybrid with defined in-person presence requirements. Hours may extend beyond normal business hours, and travel may be required as necessary.

Requirements

Bachelor’s degree.
A minimum of 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 written correspondence and analyses, and monitor workflow and task completion.
Coordinate and lead discussions with filers and FINRA staff regarding 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, recommendations for dispositions, 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 furtherance of FINRA’s mission of investor protection and market integrity.
Assist the immediate manager with special projects, including development of 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, and undertake other job-related special projects as necessary.

Benefits

Discretionary bonus may be available in addition to base pay.
Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
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 and increasing with years of service up to 25 days.
Five personal days and nine sick days, prorated in the first year unless otherwise required by law.
Two volunteer service days based on a full-time schedule.
Military, jury duty, bereavement, voting and election official, care of a family member, childbirth, and parental leave, subject to the stated eligibility terms where applicable.
Nine paid holidays for full-time employees.