Associate Principal Analyst, Corporate Financing

The Associate Principal 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 includes assisting with secondary reviews of high‑risk filings and matters, providing feedback and guidance to less experienced staff, and supporting senior staff and leadership in the areas of workflow management, quality control, training, and supervision. This position is for a professional‑level individual contributor who works under moderate supervision. Essential Job Functions Conduct routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters. Analyze filings for potential violations of rules, regulations, statutes, and policies. Draft well‑written correspondence and analysis; deliver high‑quality work product that requires minimal correction. Monitor workflow and task completion. Conduct secondary reviews and investigations of public offerings and/or private placements by providing critical analysis and recommendations for dispositions and feedback on work products. Participate in initiatives, projects, and processes and advise on routine matters related to the work area and other initiatives. Escalate complex and/or sensitive matters and developments related to member, issuer or registered person filings to senior leaders for advice, awareness, or reporting purposes. Coaching more junior colleagues on technical knowledge, processes and responsibilities. Participate in and contribute to internal and external meetings related to assigned work. Demonstrate the culture of intelligence, integrity, professionalism, and initiative in day‑to‑day interactions with the team. Monitor and report developments and trends in products and capital‑raising activity to supervisors and senior management. Participate in discussions and development of technology enhancements and other areas that support operational efficiency across assigned work. Demonstration of FINRA’s values. Collaboration, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities Represent the Department through speaking engagements and presentations for internal events. Education and Experience Requirements Bachelor’s degree in Finance, Accounting, Business, or a related field and at least five (5) years of related industry experience. Excellent oral and written communication skills. Knowledge of various types of securities and broker‑dealer services and methods of capital raising required; substantial knowledge of FINRA and SEC rules governing corporate financing activity. Academic courses or work experience showing successful use of analytical skills is preferred. Working Conditions Hybrid work environment, with defined in‑person presence requirements. Occasional travel may be required. Some extended hours may be required. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. CO/FL/TX: Minimum Salary $83,900, Maximum Salary $150,300 IL/PA: Minimum Salary $92,400, Maximum Salary $165,300 MA/MD/VA/Washington, DC: Minimum Salary $96,600, Maximum Salary $172,800 NY/NJ: Minimum Salary $96,600, Maximum Salary $180,400 Employees may be eligible for a discretionary bonus in addition to base pay. Non‑exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. FINRA provides comprehensive health, dental and vision insurance, and additional benefits including basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life and accidental death and dismemberment, short‑ and long‑term disability, long‑term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA‑funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave: FINRA offers a generous time‑off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all prorated in the first year). Two volunteer service days are also available on a full‑time schedule. Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment), and childbirth and parental leave (available after 90 days of employment). Full‑time employees receive nine paid holidays. *Based on full‑time schedule FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. #J-18808-Ljbffr Dormont Manufacturing Co