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 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, delivering high‑quality work products with minimal correction. Monitor workflow and task completion. Conduct secondary reviews and investigations of public offerings and/or private placements, 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 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. Coach 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. Demonstrate FINRA’s values. Collaborate, 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 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 demonstrating 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. Salary Salary ranges vary by location:

- CO/FL/TX: $83,900–$150,300

- IL/PA: $92,400–$165,300

- MA/MD/VA/Washington, DC: $96,600–$172,800

- NY/NJ: $96,600–$180,400

These ranges are announced on the FINRA careers site and are based on candidate skill set, level of experience, education, and market considerations. Benefits Comprehensive health, dental, and vision insurance. Basic life, accidental death and dismemberment, supplemental life, and spouse/domestic partner life insurance. Short‑ and long‑term disability, long‑term care, and business travel accident insurance. 401(k) plan with company match and eligibility for additional retirement contributions. Tuition reimbursement, commuter benefits, and other wellness programs (e.g., adoption assistance, backup family care, surrogacy benefits, employee assistance). Paid time off: 15 days of paid time off, 5 personal days, and 9 sick days (pro‑rated in the first year). Paid leave for military duty, jury duty, bereavement, voting/election official duties, and caring for a family member (after 90 days of employment). Childbirth and parental leave (after 90 days of employment) and nine paid holidays for full‑time employees. Equal Opportunity Employer 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. #J-18808-Ljbffr FINRA