Principal Analyst, Corporate Financing

FINRA; Rockville (MD); On-site; USD 90,000 - 140,000; Full time

Job summary

FINRA in Rockville, MD seeks a Principal Analyst in Corporate Financing to independently analyze complex public offering and private placement filings and related investigative matters under FINRA rules. The role supports senior staff with workflow management, quality control, training, and supervision, and collaborates with filers and FINRA colleagues to address regulatory trends and concerns.

You will mentor junior staff, assist with rule development, and participate in internal events and

Responsibilities

• Conduits routine and complex analyses of corporate financing filings and related investigative matters.

Job description

The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. Assists with secondary review of high-risk filings and matters and provides feedback and guidance to less experienced staff. Provides assistance and support to senior staff and management in the areas of workflow management, quality control, training, and supervision.

Essential Job Functions

• Conducts routine and complex assessments and analyses of FINRA firms’ corporate financing filings and related investigative matters.
• Independently prepares well-written correspondence and analyses. Monitors workflow and task completion.
• Coordinates and leads discussions with filers and other FINRA staff on compliance or regulatory trends and concerns.
• Conducts secondary review of high-risk filings and investigative matters of public offerings and/or private placements by providing critical analysis and recommendations for dispositions and feedback on work product.
• Provides subject matter expertise and guidance to other FINRA staff in connection with examinations and investigations.
• Conducts training and mentors junior staff.
• Participates in developing responses to inquiries from members, attorneys, internal stakeholders, the SEC, Exchanges, and the public.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities

• Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives requiring Department input and participation.
• Represents the Department, including speaking engagements, for internal events. Other job-related special projects as necessary.

Education/Experience Requirements