Senior Analyst, Corporate Financing

FINRA•Rockville, MD

20h•$72,400 - $155,100•Hybrid

About The Position

The Senior 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 also includes supporting key operational functions and Department initiatives and projects and developing a deep knowledge of rules, regulations, statutes, and compliance policies that are relevant and applicable to capital formation. This position is for a professional-level individual contributor who works under close supervision. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Requirements

Bachelor’s degree in Finance, Accounting, Business, or related field and at least three (3) years of related industry experience.
Demonstrate initiative to work on projects involving data analytics.
Excellent written and oral communication skills.
Excellent organizational skills.
Must be detailed oriented.
Ability to manage assigned work and multiple priorities.
Excellent time-management and problem-solving skills.

Responsibilities

Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.
Analyzes filings for violations of rules, regulations, statutes, and policies.
Drafts well-written correspondence and analysis.
Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections.
Monitors workflow and task completion.
Responds to internal and external requests and inquiries regarding filings reviews.
Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers.
Participates in and contributes to internal and external meetings related to assigned work.
Keeps current with relevant and applicable rules, regulations, statutes, and policies governing filings.
Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Benefits

discretionary bonus in addition to base pay
overtime pay in accordance with federal, state, or local law
comprehensive health, dental and vision insurance
basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance
immediate participation and vesting in a 401(k) plan with company match
eligibility for participation in an additional FINRA-funded retirement contribution
tuition reimbursement
commuter benefits
adoption assistance
backup family care
surrogacy benefits
employee assistance
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 for federal, state or local primary and general elections
care of a family member leave (available after 90 days of employment)
childbirth and parental leave (available after 90 days of employment)
nine paid holidays