Associate Principal Analyst, Private Placement

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Associate Principal Analyst conducts investigations of complex cases which have been identified as potential areas of concern related to private placements and other corporate financing activities. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.

Essential Job Functions:

• Conducts complex independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a filing, or complaints or inquiries from the public, members, other FINRA offices or other regulatory organizations.
• In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum.
• Provides support in disciplinary proceedings involving offerings that the Corporate Financing Department has reviewed by preparing and reviewing exhibits and functioning as witness during disciplinary hearings.
• Assists in the drafting of memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from Complaint Investigations, Filing Reviews, Spot Checks, service quality conferences and staff interviews.
• Assists in conducting on-site examinations of members’ corporate financing activity in conjunction with a routine or special examination.
• Prepares written reports regarding the corporate financing aspect of the examination.
• Responds to telephone inquiries from members, attorneys, district offices, the SEC, Exchanges, and the public.
• Mentors and on occasion provides expertise or counsel to other staff.

Other Responsibilities:

• Performs special assignments at the request of the department management.
• Helps to prepare and present materials for member conferences and training.
• Keeps up-to-date on changes in rules and regulations that affect distribution activities of member firms.
• Maintains investigation data files.

Education/Experience Requirements:

• Bachelor’s Degree plus 5 years related industry experience or equivalent business experience; or successful completion of at least 3 years as a Corporate Financing Analyst. JD or MBA preferred.
• Excellent oral and written communication skills. Substantial knowledge of finance, various types of securities and broker-dealer services and securities distributions. Substantial knowledge of FINRA and SEC rules governing corporate financing activity.
• Competence using a desktop computer with the full suite of office software applications. Academic courses or work experience showing successful use of analytical skills is preferred.

Work Conditions:

• Work is normally performed in an office environment. Occasional travel may be required. Some extended hours may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $94,200, Maximum Salary $176,000

CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA/WA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

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To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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