Public Offerings Analyst recruitment
This is a junior-level professional work environment in which incumbents are learning their assigned roles, attaining new skills, and working under direct supervision from multiple reporting lines.
Essential Job Functions:
- Perform timely, accurate and detailed reviews of underwriting compensation, terms and arrangements in public offering documents for compliance with FINRA/NASD and SEC rules and federal securities laws.
- Ensure underwriting compensation is within FINRA guidelines, is properly disclosed and that distribution related terms and arrangements are fair and reasonable.
- Ensure conflicts of interest are prominently disclosed and that offerings by members or their affiliates comply with FINRA rules designed to regulate conflicts of interest.
- Draft comment letters based upon review of offering documents. Communicate FINRA rules and policies to counsel and reviews correspondence on issues related to filings.
- Possess excellent organizational skills and maintain files that indicate the status of offerings and document oral communications pertinent to the Department's review.
- Respond to telephone inquiries from members, issuers, their counsel, the SEC, other FINRA Departments, District Offices and the public regarding public offerings of securities.
- If required, create reports, charts, graphs, presentations and other department correspondence.
- Maintain working files and database system integrity.
Other Responsibilities:
- Maintain high degree of familiarity with department responsibilities, practices and industry guidelines, including regulations affecting public offerings of securities.
- Participate in department projects.
Qualifications Education/Experience Requirements:
- Bachelor degree in Business, Finance, or Accounting or, the equivalent.
- Minimum one year of related work experience in the financial industry.
Skills Required:
- Must be detailed oriented.
- Ability to work independently; self-motivated.
- Ability to manage multiple priorities, meet established turnaround goals and deadlines.
- Strong time management, problem solving and organizational skills are highly desired.
- Ability to work under high pressure and in stressful situations.
- Demonstrate strong written and interpersonal communication skills.
- Competent in using a desktop computer with the full suite of offices software applications, including, applications directly related to the section to which assigned.
Working Conditions:Work is normally performed in an office environment. Occasional travel may be required. Some extended hours may be required. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. Please note: FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism. About FINRAThe Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
