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Organization TypePublic Interest
Years of Experience
Date Last Verified
Public Offerings Senior Analyst - Corporate Financing Duties: Identifies and analyzes regulatory issues in public offerings and reviews proposed underwriting arrangements for compliance with SEC rules as well as federal securities laws. Conducts independent investigations and develops cases related to potential violations of the Corporate Financing Rules which are initiated by Corporate Financing staff. Provides assistance to other Departments and/or coordinates with other external securities regulators. Prepares comment letters, memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from public offering filing reviews, public offering investigations and spot checks. Communicates rules and policies to counsel and other securities industry parties. Assists in conducting on-site examinations of members’ corporate financing activities in conjunction with a routine or special examination. Supports On-the-Record interviews conducted by the Department of Enforcement. Prepares reports and presentations for other Departments and senior management. Responds to telephone inquiries from attorneys, members, issuers, the SEC, state securities regulators, other FINRA Departments, and the public regarding public offerings of securities. Maintains a high degree of familiarity with department responsibilities, practices and industry guidelines, including regulations affecting public offerings of securities. Participates in department projects.
Qualification and Experience
Qualifications: Bachelor’s Degree. JD Degree or MBA is a plus. 3 years related industry experience or equivalent business experience; or successful completion of 2+ years as a Corporate Financing Investigator. Must be detailed oriented. Ability to work independently; self-motivated. Excellent written and oral communication skills. Ability to manage multiple priorities, meet established turnaround goals and deadlines. Excellent time-management, problem solving skills and organizational skills. Competent in using a desktop computer with the full suite of office software applications.
Job Number: 006091. Send cover letter outlining interest in the role, qualifications and how skills translate to the role, and what can contribute to the organization, current resume, a writing sample.
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