Senior Risk & Compliance Analyst - Public Offerings
Company: Finra
Location: Rockville
Posted on: June 12, 2022
Job Description:
The Senior Risk & Compliance Analyst in Corporate Financing
Public Offerings is responsible for analyzing complex and
high-profile public offering transactions. The Senior Risk &
Compliance Analyst reviews and investigates proposed public
offering underwriting arrangements to ensure compliance with FINRA
and SEC rules as well as other securities laws. This is
intermediate-level professional work in which incumbents are
performing their assigned roles, applying professional expertise,
and working under limited supervision.Essential Job Functions:
- Ensures underwriting compensation is adequately valued, within
FINRA guidelines, and disclosed to investors.
- 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
public offering filings, investigations and spot checks.
- Conducts independent investigations and develops cases related
to potential violations.
- Prepares memoranda, reports, and other correspondence,
including 8210 Letters and Letters of Caution.
- Supports investigations conducted by the Department of
Enforcement.
- Assists with on-site examination of members' corporate
financing activities in connection with a routine or special
examination.
- Responds to various inquiries from attorneys, members, issuers,
the SEC, state securities regulators, other FINRA Departments 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 public offerings.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.
- Experience or educational background in finance, computer
science, data engineering, information systems, querying or
reporting preferred.
- Desire to work on projects involving data analytics.
- Excellent written and oral communication skills.
- Excellent organizational skills.
- Must be detailed oriented.
- Ability to work independently and manage multiple
priorities.
- Excellent time-management and problem solving skills.
- Competence 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.#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
www.finra.org/careers 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). 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 disabilities.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. -2020
FINRA. All rights reserved. FINRA is a registered trademark of the
Financial Industry Regulatory Authority, Inc.
Keywords: Finra, Rockville , Senior Risk & Compliance Analyst - Public Offerings, Accounting, Auditing , Rockville, Maryland
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