Senior Regulatory Compliance Analyst

Software Guidance & Assistance, Inc. (SGA, Inc.); Rockville (MD); On-site; USD 80,000 - 110,000; Full time

Job summary

A technology and resource solutions provider is seeking a Senior Analyst (Corp Financing/Public Offerings) for a hybrid role in Rockville, MD or Tysons, VA. The Analyst will review public offering transactions, ensuring compliance with SEC regulations and firm rules. Candidates should have at least three years of related experience with a Bachelor’s degree, and preferably a JD or MBA. Strong communication skills and a desire to work with data analytics are essential. Join a diverse team dedicated to customer service and employee development.

Qualifications

• At least three years of related industry experience.
• Experience in finance, computer science, data engineering or information systems preferred.
• Desire to work on data analytics projects.

Responsibilities

• Analyze public offering transactions for compliance.
• Ensure underwriting compensation is adequately valued.
• Draft comment and inquiry letters related to public offerings.

Skills

Data analytics

Excellent written communication

Excellent oral communication

Organizational skills

Detail-oriented

Time management

Problem solving

Education

Bachelor's Degree

JD or MBA preferred

Tools

Office software applications

Job description

Overview

Software Guidance & Assistance, Inc., (SGA), is searching for a Senior Analyst (Corp Financing/Public Offerings) for a Contract assignment with one of our premier Regulatory clients in Rockville, MD or Tysons, VA.

This role is hybrid (3 days/week Onsite) - Tysons or Rockville Office.

The Senior Analyst analyzes complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with firm 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.

Responsibilities

• Ensures underwriting compensation is adequately valued, within the firm\'s guidelines, and disclosed to investors.
• Verifies that conflicts of interest are prominently disclosed.
• Drafts comment and inquiry letters, communicates firm 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 firm Departments and the public.
• 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.

Required Skills

• 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.

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let\'s work better together, we mean it. You\'ll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at https://sgainc.com/ .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company EEO page to request an accommodation or assistance regarding our policy.