Principal Analyst, Corporate Financing

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Paid time off (PTO)

Volunteer days

Job summary

FINRA is seeking a Principal Analyst in Corporate Financing to independently analyze complex public offering and private placement filings under FINRA rules. The role also supports senior staff with workflow management, training, and supervision.

Hybrid work in multiple locations with travel; salary range for Rockville, MD listed as $112,300 - $202,500. The incumbent will prepare analyses, lead discussions with filers, mentor junior staff, and respond to inquiries from regulators and market

Qualifications

• Bachelor's degree with seven years of related industry experience.
• Ability to work independently and in groups.
• Strong analytical and organizational skills.
• Excellent oral and written communication skills.

Responsibilities

• Analyze routine and complex corporate financing filings and related investigations.
• Prepare well-written correspondence and analyses.
• Lead discussions with filers and FINRA staff on compliance trends.
• Mentor junior staff and provide training.

Skills

Analytical skills

Oral and written communication

Independent work

Education

Bachelor's degree

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

Bachelor's degree and a minimum of seven years of related industry experience. Demonstrated ability to work independently and in groups. Work experience showing successful use of analytic and organizational skills required. Excellent oral and written communication skills. Knowledge of various types of securities and broker-dealer services and methods of capital raising required. In-depth knowledge of FINRA, SEC and other applicable rules and interpretations governing capital raising required.

Working Conditions

Hybrid work environment, with defined in-person presence requirements. Hours may extend beyond normal business hours. Travel will be required, as necessary. For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

Salary

• Boston, MA: $112,300 - $202,500
• Chicago, IL: $107,500 - $194,100
• Denver, CO: $97,700 - $176,100
• Jericho, NY: $112,300 - $202,500
• Jersey City, NJ: $117,200 - $211,400
• Philadelphia, PA: $107,500 - $194,100
• NewYork, NY: $117,200 - $211,400
• Rockville, MD: $112,300 - $202,500
• Tysons, VA: $112,300 - $202,500
• Washington, DC: $112,300 - $202,500
• Woodbridge, NJ: $112,300 - $202,500
• Connecticut State: $97,700- $211,400
• Washington State: $97,700- $211,400

Employeesmay be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- andlong-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they controltrading or have a financial interest (including any trust account of which theyare a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child wholive withthe employee) and to authorize their broker-dealers to provide FINRA with duplicate statements forallof those accounts. Allof thoseaccountsaresubjectto the Code’s investment and securities account restrictions, and new employees must complywith those investment restrictions—including disposingof any securityissuedbya company on FINRA’sProhibitedCompanyList orobtaining a written waiver from their ExecutiveVicePresident—by the date they begin employment with FINRA. Employeesmay onlymaintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts fromother securities firms to a firmthat provides an e-feed withinthreemonths of beginning employment. Youcanreadmoreabouttheserestrictionshere. Asstandard practice, employeesmust also execute FINRA’sEmployeeConfidentiality andInvention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Washington State Applicants

Washington state applicants:

Equal Opportunity Employer

FINRA is an EqualOpportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives tomakeour career site accessible toall users. If you need a disability‑related accommodationfor completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at [e-mail]. Please note that this process is exclusivelyfor inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a).This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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