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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Attorney
Finance - Project Finance
Min 2 yrs required
Analyst, Private Placement - Corporate Financing Duties: Conducts independent reviews and investigations of potential rule violations relating to private placement filings, as well as complaints or inquiries received 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 Caution Action Letters, 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. 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.
Qualification and Experience
Requirements: Bachelor’s Degree plus 3 years related industry experience or equivalent business experience; or successful completion of 2 years as a Corporate Financing Analyst. JD Degree or MBA preferred. Excellent oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and securities distributions. 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.
Job Number: 006340. Send a cover letter and resume with writing sample.
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