Associate Principal Analyst, Corporate Financing

About the role

The Associate Principal Analyst in Corporate Financing is responsible for conducting reviews and investigative matters, on all public offering and/or private placement filings subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. The role includes assisting with secondary reviews of high-risk filings and matters, providing feedback and guidance to less experienced staff, and supporting senior staff and leadership in the areas of workflow management, quality control, training, and supervision.

Responsibilities

• Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.
• Analyzes filings for potential violations of rules, regulations, statutes, and policies.
• Drafts well-written correspondence and analysis.
• Delivers high-quality work product that requires minimal correction.
• Maintains and monitors workflow and task completion.
• Conducts secondary reviews and investigations of public offerings and/or private placements by providing critical analysis and recommendations for dispositions and feedback on work products.
• Participates in initiatives, projects, and processes and advises on routine matters related to work area and other initiatives.
• Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to senior leaders for advice, awareness, or reporting purposes.
• Coaches more junior colleagues on technical knowledge, processes and responsibilities.
• Participates in and contributes to internal and external meetings related to assigned work.
• Demonstrates the culture of intelligence, integrity, professionalism, and initiative in day-to-day interactions with the team.
• Monitors and reports developments and trends in products and capital-raising activity to supervisors and senior management.
• Participates in discussions and development of technology enhancements and other areas that support operational efficiency across assigned work.
• Demonstrates FINRA’s values.

Requirements

• Bachelor’s degree in Finance, Accounting, Business, or related field and at least five (5) years of related industry experience.
• Excellent oral and written communication skills.
• Substantial knowledge of FINRA and SEC rules governing corporate financing activity.

Qualifications

• Knowledge of various types of securities and broker-dealer services and methods of capital raising.
• Academic courses or work experience showing successful use of analytical skills is preferred.

Other Responsibilities

• Represents the Department through speaking engagements and presentations for internal events.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Occasional travel may be required.
• Some extended hours may be required.