Senior Analyst, Private Placement

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

Essential Job Functions:

• Conducts 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.

Other Responsibilities:

• Performs special assignments at the request of the department management. 
• Prepares and presents 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 and at least three (3) years of related industry experience ; or an equivalent combination of education and experience.  
• JD or MBA preferred.
• Excellent oral and written communication skills.
• Working knowledge of finance, various types of securities and broker-dealer services and securities distributions. 
• 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.

Working 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, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed 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.

California: Minimum of $78,900, Maximum Salary $146,900

Washington, DC/Maryland: Minimum Salary $78,900, Maximum Salary $140,800

Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300
New York, NY: Minimum Salary $82,200, Maximum Salary $146,900

Washington State: Minimum Salary $68,500, Maximum Salary $140,800

#LI-Hybrid

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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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provi