Senior Analyst, Private Placement

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 corporate financing activities.

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 filing, or complaints or inquiries from the public, members, other FINRA 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 Requirements:


* Bachelor’s Degree plus 3 years related industry experience or equivalent business experience; or successful completion of at least 2 years as a Corporate Financing Analyst.

JD 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.

Work Conditions:


* Work is normally performed in an office environment.


* Occasional travel may be required.


* Some extended hours may be required.

For work that is performe...