Associate Principal Analyst, Corporate Financing

Job description

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. This position is for a professional-level individual contributor who works under moderate supervision. Essential Job Functions: - 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. - 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 pr...