Senior Corporate Financing & Compliance Analyst

FINRA; Rockville (MD); Vor Ort; USD 90.000 - 140.000; Vollzeit

Zusammenfassung

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

Aufgaben

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

Jobbeschreibung

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