Principal Analyst, Corporate Financing

The Principal Analyst in Corporate Financing is responsible for independently conducting analyses of complex public offering and/or private placement filings and investigative matters subject to FINRA Rules 5110, 5121, 2310, 5122 and 5123. Assists with secondary review of high-risk filings and matters and provides feedback and guidance to less experienced staff. Provides assistance and support to senior staff and management in the areas of workflow management, quality control, training, and supervision. Essential Job Functions: Conducts routine and complex assessments and analyses of FINRA firms’ corporate financing filings and related investigative matters. Independently prepares well-written correspondence and analyses. Monitors workflow and task completion.…