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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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