Senior Analyst, Public s

Position: Senior Analyst, Public Offerings
The Senior Analyst in Corporate Financing is responsible for conducting reviews and investigative matters on all public offering and/or private placement filings subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. The role also includes supporting key operational functions and Department initiatives and projects and developing a deep knowledge of rules, regulations, statutes, and compliance policies that are relevant and applicable to capital formation.

This position is for a professional-level individual contributor who works under close supervision.

Essential Job Functions:

Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.

Analyzes filings for violations of rules, regulations, statutes, and policies.

Drafts well-written correspondence and analysis. Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections.

Monitors workflow and task completion.

Responds to internal and external requests and inquiries regarding filings reviews.

Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers.

Participates in and contributes to internal and external meetings related to assigned work.

Keeps current with relevant and applicable rules, regulations, statutes, and policies governing filings.

Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team.

Demonstration of FINRA’s values.

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

Bachelor’s degree in Finance, Accounting, Business, or related field and at least three (3) years of related industry experience.

Demonstrate initiative to work on projects involving data analytics.

Excellent written and oral communication skills.

Excellent organizational skills.

Must be detailed oriented.

Ability to manage assigned work and multiple priorities.

Excellent time-management and problem-solving skills.

Working Conditions:

Hybrid work environment, with defined in-person presence requirements.

Occasional travel may be required.

Some extended hours may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market  Minimum Salary $72,400, Maximum Salary $129,200IL/PA:
Minimum Salary $79,800, Maximum Salary $142,300MA/MD/VA/Washington, DC:
Minimum Salary $83,300, Maximum Salary $148,600NY/NJ:
Minimum Salary $83,300, Maximum Salary $155,100#LI-Hybrid To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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 (Use the "Apply for this Job" box below). into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and…