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:

• 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 public offerings.

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.
• Experience or educational background in finance, computer science, data engineering, information systems, querying or reporting preferred.
• Desire to work on projects involving data analytics.
• Excellent written and oral communication skills. 
• Excellent organizational skills.
• Must be detailed oriented.
• Ability to work independently and manage multiple priorities.
• Excellent time-management and problem solving skills.  
• Competence using a desktop computer with the full suite of office software applications.

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 and WA, 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: 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