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.…