Senior Corporate Financing & Regulatory Analytics

FINRA; Washington (District of Columbia); Hybrid; USD 112.000 - 203.000; Vollzeit

Benefits dieser Stelle

Health insurance

Dental insurance

Vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Adoption assistance

Wellness programs

Zusammenfassung

The Principal Analyst in Corporate Financing at FINRA independently analyzes complex public offering and private placement filings and related investigative matters, guiding less experienced staff and supporting senior management.

This hybrid role requires strong analytical and communication skills, knowledge of FINRA/SEC rules, and the ability to mentor teams while contributing to workflow, training, and regulatory responses.

Qualifikationen

• Bachelor’s degree and a minimum of seven years of related industry experience.
• Ability to work independently and in groups.
• Excellent oral and written communication skills.
• Knowledge of securities and broker-dealer services and methods of capital raising.
• In-depth knowledge of FINRA, SEC and related rules and interpretations governing capital raising.

Aufgaben

• 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.

Kenntnisse

Analytical skills

Communication skills

Securities knowledge

Ausbildung

Bachelor’s degree

Jobbeschreibung

The Principal Analyst in Corporate Financing at FINRA independently analyzes complex public offering and private placement filings and related investigative matters, guiding less experienced staff and supporting senior management.

This hybrid role requires strong analytical and communication skills, knowledge of FINRA/SEC rules, and the ability to mentor teams while contributing to workflow, training, and regulatory responses.