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Senior Analyst, Public Offerings - Rockville, MD at FINRA

Posted in Legal 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Rockville, Maryland

Job Description:

We Work to Protect Investors. Join our Team.

The Financial Industry
Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Analyst opening in Rockville, MD. To be considered for
this position, please submit your resume through our career site at ? no phone calls, please.

Job Summary:

Senior Analyst staff in the Corporate Financing Department is responsible for
performing analysis of complex and high-profile public offering transactions
filed under severe market-driven timing pressure.  The Senior Analyst will provide opinions, on
behalf of the Department, regarding the reasonableness of underwriting terms
and arrangements for such transactions prior to the commencement of sales.  The majority of filings reviewed have also
been confidentially filed with the SEC and the staff must coordinate its review
and timeline.  The Senior Analyst will
encounter varying workloads as well as frequent changes to the proposed terms
and arrangements that require immediate attention, including urgent discussions
with member counsel.

Senior Analyst will analyze numerous documents submitted through the Public
Offering System, including, but not limited to registration statements,
offering circulars, distribution agreements, escrow arrangements, engagement
letters, warrant agreements and a variety of legal correspondence.  Conducts preliminary evaluations and
recommendations related to requests for exemptive relief and communicates
potential rule violations and the status of reviews to member counsel,
compliance officers and/or other principals throughout the review process with
limited supervisory guidance.  Also
develops investigative matters for potential violations of the Corporate
Financing Rules including, but not limited to, drafting inquiry letters
pursuant to Rule 8210, evaluating firm responses, and referring viable matters
to Enforcement.  Collaborates with Member
Regulation, Advertising and other Departments with some supervisory direction.
This is intermediate-level professional work in which incumbents are performing
their assigned roles, applying professional expertise, and working under
limited supervision from multiple reporting lines.

Essential Job Functions:

  • Identifies and analyzes regulatory issues in public
    offerings, and reviews proposed underwriting arrangements for compliance with
    FINRA and SEC rules as well as federal securities laws.

  • Ensures underwriting compensation is adequately valued,
    within FINRA guidelines, and disclosed to investors.  Also verifies that conflicts of interest are
    prominently disclosed.

  • Drafts comment and inquiry letters, communicates FINRA rules
    and policies, and reviews correspondence on issues related to filings,
    investigations and spot checks.  Prepares
    memoranda, reports, and other correspondence, including 8210 Letters and
    Letters of Caution, resulting from such reviews.

  • Conducts investigations and develops cases related to
    potential violations.  Provides
    assistance to other FINRA Departments and/or coordinates with other external
    securities regulators.

  • Assists with on-site examination of members? corporate
    financing activities in connection with a routine or special examination.  Supports On-the-Record interviews conducted
    by the Department of Enforcement.

  • Responds to various inquiries from attorneys, members,
    issuers, the SEC, state securities regulators, other FINRA Departments and the
    public regarding securities offerings and rule interpretation.

Other Responsibilities:

  • Maintains a high degree
    of familiarity with department responsibilities, practices and industry
    guidelines including regulations affecting public offerings of securities.

  • Participates in various
    Department projects.

  • Other duties as

Education/Experience Requirements:

  • Bachelor?s Degree.  JD
    or MBA is a plus.

  • A minimum of three years of related financial industry experience
    or equivalent business experience, or successful completion of at least two
    years as a Corporate Financing

  • Excellent organizational skills to maintain working files
    that indicate the status of reviews and investigations, which also document
    verbal communications pertinent to the Department?s review. 

  • 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 and problem solving skills.  

  • Ability to work under high pressure and in stressful

  • Competent in using a desktop computer with the full suite of
    office software applications.

Working Conditions:

  • Work is normally performed in an office environment.

  • Occasional travel may be required.

  • Some extended hours may be required.

To be considered for this position, please submit a cover
letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to
indicate the general nature and level of work of the position. It is not a
comprehensive inventory of all duties, responsibilities and qualifications

Please note: If the
?Apply Now? button on a job board posting does not take you directly to the
FINRA Careers site, enter into your browser to
reach our site directly.

FINRA strives to make
our career site accessible to all users. If you need a disability-related
accommodation for completing the application process, please contact FINRA?s
accommodation help line at 240.386.4865. Please note that this number is
exclusively for inquiries regarding application accommodations.

In addition to a
competitive salary, comprehensive health and welfare benefits, and incentive
compensation, FINRA offers immediate participation and vesting in a 401(k) plan
with company match. You will also be eligible for participation in an
additional FINRA-funded retirement contribution, our tuition reimbursement
program and many other benefits. If you would like to contribute to our
important mission and work collegially in a professional organization that
values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA?s Code of Conduct
imposes restrictions on employees? investments and requires financial
disclosures that are uniquely related to our role as a securities regulator.
FINRA employees are required to disclose to FINRA all brokerage accounts that
they maintain, and those in which they control trading or have a financial
interest (including any trust account of which they are a trustee or
beneficiary and all accounts of a spouse, domestic partner or minor child who
lives with the employee) and to authorize their broker-dealers to provide FINRA
with duplicate statements for all of those accounts. All of those accounts are subject to the Code?s
investment and securities account restrictions, and new employees must comply with those investment
restrictions?including disposing of any security issued by a company on FINRA?s
Prohibited Company List or obtaining a written waiver from their Executive Vice
President?by the date they begin employment with FINRA. Employees may only
maintain securities accounts that must be disclosed to FINRA at one or more
securities firms that provide an electronic feed (e-feed) of data to FINRA, and
must move securities accounts from other securities firms to a firm that
provides an e-feed within three months of beginning employment.

As standard practice,
employees must also execute FINRA?s Employee Confidentiality and Invention
Assignment Agreement without qualification or modification and comply with the
company?s policy on nepotism.


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.
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Find out more about us
and how we work?and view our current openings?at

Search Firm Representatives

Please be advised that FINRA
is not seeking assistance or accepting unsolicited resumes from search firms
for this employment opportunity. Regardless of past practice, a valid written
agreement and task order must be in place before any resumes are submitted to
FINRA. All resumes submitted by search firms to any employee at FINRA without a
valid written agreement and task order in place will be deemed the sole
property of FINRA and no fee will be paid in the event that person is hired by

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Opportunity and Affirmative Action Employer

All qualified
applicants will receive consideration for employment without regard to age,
citizenship status, color, disability, marital status, national origin, race,
religion, sex, sexual orientation, gender identity, veteran status or any other
classification protected by federal state or local laws as appropriate, or upon
the protected status of the person?s relatives, friends or associates.

FINRA abides by the
requirements of
41 CFR 60-741.5(a). This regulation
prohibits discrimination against qualified individuals on the basis of
disability, and requires affirmative action by covered prime contractors and
subcontractors to employ and advance in employment qualified individuals with

FINRA abides by the
requirements of
41 CFR 60-300.5(a). This regulation
prohibits discrimination against qualified protected veterans, and requires
affirmative action by covered prime contractors and subcontractors to employ
and advance in employment qualified protected veterans.

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