3-5 yrs required
Rockville, MD, United States
May 26, 2020
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: