Senior Compliance & Regulatory Analyst - Private Placement

Rockville, MD
Sep 29, 2022
Oct 05, 2022
Analyst, IT, QA Engineer
Full Time
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. Prepares and presents 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 and at least three (3) years of related industry experience ; or an equivalent combination of education and experience. 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.Working Conditions:Work is normally performed in an office environment. Occasional travel may be required. Some extended hours may be required.#LI-HybridTo be considered for this position, please submit an application. 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 required.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.Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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 InformationFINRA'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.You can read more about these restrictions here.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.Search Firm RepresentativesPlease 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 FINRA.FINRA is an Equal Opportunity and Affirmative Action EmployerAll 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). 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