Senior Analyst, Public Offerings

The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. This is intermediate-level professional work in which incumbents are performing their assigned roles, applying professional expertise, and working under limited supervision.

Essential Job Functions:

• Ensures underwriting compensation is adequately valued, within FINRA guidelines, and disclosed to investors.
• Verifies that conflicts of interest are prominently disclosed.
• Drafts comment and inquiry letters, communicates FINRA rules and policies, and reviews correspondence on issues related to public offering filings, investigations and spot checks.
• Conducts independent investigations and develops cases related to potential violations.
• Prepares memoranda, reports, and other correspondence, including 8210 Letters and Letters of Caution.
• Supports investigations conducted by the Department of Enforcement.
• Assists with on-site examination of members’ corporate financing activities in connection with a routine or special examination.
• Responds to various inquiries from attorneys, members, issuers, the SEC, state securities regulators, other FINRA Departments and the public.

Other Responsibilities:

• Maintains a high degree of familiarity with department responsibilities, practices and industry guidelines including regulations affecting public offerings of securities.
• Participates in various Department projects.
• Other duties as assigned.

Education/Experience Requirements:

• Bachelor’s Degree. JD or MBA is a plus.
• Three to five years of related financial industry experience or equivalent business experience, or successful completion of at least two years as a Corporate Financing Investigator.
• Excellent organizational skills to maintain working files that indicate the status of reviews and investigations, which also document verbal communications pertinent to the Department’s review.
• Must be detailed oriented.
• Ability to work independently; self-motivated.
• Excellent written and oral communication skills
• Ability to manage multiple priorities, meet established turnaround goals and deadlines.
• Excellent time-management and problem solving skills.
• Ability to work under high pressure and in stressful situations.
• Competent in using a desktop computer with the full suite of office software applications.

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 of $78,900, Maximum Salary $146,900

CO/HI/MN/VT*: Minimum Salary $68,500, Maximum Salary $122,300

IL*: Minimum Salary $75,600, Maximum Salary $134,800

Jersey City, NJ/NYC, NY: Minimum Salary $82,200, Maximum Salary $146,900

MA/WA: Minimum Salary $68,500, Maximum Salary $140,800

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

NJ: Minimum Salary $75,600, Maximum $146,900

NY: Minimum Salary $68,500, Maximum Salary $146,900

*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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