Regulatory Analyst

Job Description Summary

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
• Collaboration, both in-person and virtually, in furtherance of our client'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.