Principal Analyst, Securities Offerings

2 weeks ago

Dallas, Texas, United States Financial Industry Regulatory Authority , Inc. Full time
Position Overview: The Lead Analyst in Corporate Financing Public Offerings plays a crucial role in evaluating intricate and significant public offering transactions. This position involves a thorough review and assessment of proposed underwriting arrangements to ensure adherence to FINRA and SEC regulations, as well as other applicable securities laws. This role is classified as intermediate-level professional work, where the incumbent utilizes their expertise while operating under limited supervision.

Key Responsibilities:
  • Ensures that underwriting compensation is properly assessed, compliant with FINRA standards, and transparently communicated to investors.
  • Confirms that any potential conflicts of interest are clearly disclosed.
  • Drafts inquiry letters and comments, articulates FINRA rules and policies, and reviews communications related to public offering filings, investigations, and audits.
  • Conducts independent inquiries and formulates cases concerning possible violations.
  • Prepares detailed memoranda, reports, and other documentation, including 8210 Letters and Letters of Caution.
  • Provides support for investigations led by the Department of Enforcement.
  • Assists in on-site evaluations of members' corporate financing practices during routine or special examinations.
  • Responds to inquiries from legal representatives, members, issuers, the SEC, state securities regulators, other FINRA departments, and the public.
Additional Duties:
  • Completes special projects as assigned by department management.
  • Develops and presents materials for member training sessions and conferences.
  • Stays informed on regulatory changes impacting public offerings.
Qualifications:
  • Bachelor's Degree with a minimum of three (3) years of relevant industry experience, or an equivalent combination of education and experience.
  • JD or MBA is preferred.
  • Background in finance, computer science, data engineering, information systems, or reporting is advantageous.
  • Interest in projects involving data analytics.
  • Strong written and verbal communication skills.
  • Exceptional organizational abilities.
  • Attention to detail is essential.
  • Ability to work autonomously and manage multiple tasks effectively.
  • Proficient in using desktop computers and the complete suite of office software applications.
Work Environment:
  • Typically, work is conducted in an office setting.
  • Some travel may be necessary.
  • Extended hours may occasionally be required.
Compensation: Salary ranges vary based on location and are influenced by factors such as skills, experience, and education.

Benefits: FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, a 401(k) plan with company matching, and generous paid time off policies.

Equal Opportunity Employer: FINRA is committed to creating a diverse environment and is proud to be an equal opportunity 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 applicable laws.

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