Job Details

Senior Analyst -Private Placement

Company name

FINRA.

Organization Type

In-House

Job Type

Attorney

Date Last Verified

May 20, 2020

Posted on

Mar 10, 2020

Years of Experience

3-5 yrs required

Location

Rockville, MD, United States

Industry

Legal
Practice Area
Corporate >> Corporate
Corporate >> Corporate - Securities and Capital Markets
Finance >> Finance
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Profile

 

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Senior Analyst conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.

Essential Job Functions:

  • Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a complaint or inquiries from the public, members, district offices or other regulatory organizations.
  • In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum.
  • Provides support in disciplinary proceedings involving offerings that the Corporate Financing Department has reviewed by preparing and reviewing exhibits and functioning as witness during disciplinary hearings.
  • Assists in the drafting of memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from Complaint Investigations, Filing Reviews, Spot Checks, service quality conferences and staff interviews.
  • Assists in conducting on-site examinations of members’ corporate financing activity in conjunction with a routine or special examination.
  • Prepares written reports regarding the corporate financing aspect of the examination.
  • Responds to telephone inquiries from members, attorneys, district offices, the SEC, Exchanges, and the public.

 

 

 

Other Responsibilities:

  • Performs special assignments at the request of the department management.
  • Helps to prepare and present materials for member conferences and training.
  • Keeps up-to-date on changes in rules and regulations that affect distribution activities of member firms.
  • Maintains investigation data files.

 

Education/Experience Requirement:

  • Bachelor’s Degree plus 5 years related industry experience or equivalent business experience; or successful completion of at least 3 years as a Corporate Financing Analyst. JD or MBA preferred.
  • Excellent oral and written communication skills.
  • Substantial knowledge of finance, various types of securities and broker-dealer services and securities distributions.
  • Substantial knowledge of FINRA and SEC rules governing corporate financing activity.
  • Competence using a desktop computer with the full suite of office software applications.
  • Academic courses or work experience showing successful use of analytical skills is preferred.

 

Work Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel may be required.
  • Some extended hours may be required.

Company info

FINRA.

Company Profile

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

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