Senior Analyst, Corporate Financing

Job description

The Senior 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 also includes supporting key operational functions and Department initiatives and projects and developing a deep knowledge of rules, regulations, statutes, and compliance policies that are relevant and applicable to capital formation. This position is for a professional-level individual contributor who works under close supervision. Essential Job Functions: - Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters. - Analyzes filings for violations of rules, regulations, statutes, and policies. - Drafts well-written correspondence and analysis. Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections. - Monitors workflow and task completion. - Responds to internal and external requests and inquiries regarding filings reviews. - Escalates complex and/or sensitive matters and developments related to memb...