Associate Principal Analyst, Corporate Financing
Core
Conducting reviews and investigative matters on public offering and private placement filings subject to FINRA rules, analyzing for potential violations, and providing feedback on work products.
Role type
Associate Principal Analyst (Corporate Financing)
Builds
Regulatory compliance assessments and investigative reports for securities firms
Domain
Financial Services / Securities Regulation
Required skills
Analytical skills, Knowledge of securities and broker-dealer services, Knowledge of FINRA and SEC rules, Drafting correspondence, Workflow monitoring, Coaching junior colleagues, Escalating complex matters, Monitoring market trends
Preferred skills
Academic courses or work experience in analytical skills
Technologies
None stated
Responsibilities
Conduct routine and complex assessments of Corporate Financing filings, Analyze filings for potential violations of rules and regulations, Draft correspondence and analysis, Monitor workflow and task completion, Conduct secondary reviews and investigations, Escalate complex matters to senior leaders, Coach more junior colleagues, Participate in internal and external meetings, Represent the Department through speaking engagements, Monitor and report developments in capital-raising activity
Seniority
Associate Principal, professional-level individual contributor