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:

• Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.
• Analyzes filings for potential violations of rules, regulations, statutes, and poli...