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Job Details

Senior Analyst - Public Offerings

Company name

3-5 yrs required

Rockville, MD, United States

Employment Type

Government, Legal

Posted on
May 26, 2020

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The Senior Analyst staff in the Corporate Financing Department is responsible for performing analysis of complex and high-profile public offering transactions filed under severe market-driven timing pressure. The Senior Analyst will provide opinions, on behalf of the Department, regarding the reasonableness of underwriting terms and arrangements for such transactions prior to the commencement of sales. The majority of filings reviewed have also been confidentially filed with the SEC and the staff must coordinate its review and timeline. The Senior Analyst will encounter varying workloads as well as frequent changes to the proposed terms and arrangements that require immediate attention, including urgent discussions with member counsel.

The Senior Analyst will analyze numerous documents submitted through the Public Offering System, including, but not limited to registration statements, offering circulars, distribution agreements, escrow arrangements, engagement letters, warrant agreements and a variety of legal correspondence. Conducts preliminary evaluations and recommendations related to requests for exemptive relief and communicates potential rule violations and the status of reviews to member counsel, compliance officers and/or other principals throughout the review process with limited supervisory guidance. Also develops investigative matters for potential violations of the Corporate Financing Rules including, but not limited to, drafting inquiry letters pursuant to Rule 8210, evaluating firm responses, and referring viable matters to Enforcement. Collaborates with Member Regulation, Advertising and other Departments with some supervisory direction. This is intermediate-level professional work in which incumbents are performing their assigned roles, applying professional expertise, and working under limited supervision from multiple reporting lines.

Essential Job Functions:

  • Identifies and analyzes regulatory issues in public offerings, and reviews proposed underwriting arrangements for compliance with FINRA and SEC rules as well as federal securities laws.
  • Ensures underwriting compensation is adequately valued, within FINRA guidelines, and disclosed to investors. Also 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 filings, investigations and spot checks. Prepares memoranda, reports, and other correspondence, including 8210 Letters and Letters of Caution, resulting from such reviews.
  • Conducts investigations and develops cases related to potential violations. Provides assistance to other FINRA Departments and/or coordinates with other external securities regulators.
  • Assists with on-site examination of members’ corporate financing activities in connection with a routine or special examination. Supports On-the-Record interviews conducted by the Department of Enforcement.
  • Responds to various inquiries from attorneys, members, issuers, the SEC, state securities regulators, other FINRA Departments and the public regarding securities offerings and rule interpretation.


Other Responsibilities:

  • Maintains a high degree of familiarity with department responsibilities, practices and industry guidelines including regulations affecting public offerings of securities.
  • Participates in various Department projects.
  • Other duties as assigned.


Education/Experience Requirements:

  • Bachelor’s Degree. JD or MBA is a plus.
  • Three to five years of related financial industry experience or equivalent business experience, or successful completion of at least two years as a Corporate Financing Investigator.
  • Excellent organizational skills to maintain working files that indicate the status of reviews and investigations, which also document verbal communications pertinent to the Department’s review.
  • Must be detailed oriented.
  • Ability to work independently; self-motivated.
  • Excellent written and oral communication skills
  • Ability to manage multiple priorities, meet established turnaround goals and deadlines.
  • Excellent time-management and problem solving skills.
  • Ability to work under high pressure and in stressful situations.
  • Competent in using a desktop computer with the full suite of office software applications.


Work Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel may be required.
  • Some extended hours may be required.

Company info


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