- Ensures underwriting compensation is adequately valued, within FINRA guidelines, and disclosed to investors.
- Verifies that conflicts of interest are prominently disclosed.
- Drafts comment and inquiry letters, communicates FINRA rules and policies, and reviews correspondence on issues related to public offering filings, investigations and spot checks.
- Conducts independent investigations and develops cases related to potential violations.
- Prepares memoranda, reports, and other correspondence, including 8210 Letters and Letters of Caution.
- Supports investigations conducted by the Department of Enforcement.
- Assists with on-site examination of members' corporate financing activities in connection with a routine or special examination.
- Responds to various inquiries from attorneys, members, issuers, the SEC, state securities regulators, other FINRA Departments and the public.
- Performs special assignments at the request of the Department management.
- Prepares and presents materials for member conferences and training.
- Keeps up-to-date on changes in rules and regulations that affect public offerings.
- Bachelor's Degree and at least three (3) years of related industry experience; or an equivalent combination of education and experience.
- JD or MBA preferred.
- Experience or educational background in finance, computer science, data engineering, information systems, querying or reporting preferred.
- Desire to work on projects involving data analytics.
- Excellent written and oral communication skills.
- Excellent organizational skills.
- Must be detailed oriented.
- Ability to work independently and manage multiple priorities.
- Excellent time-management and problem solving skills.
- Competence using a desktop computer with the full suite of office software applications.
- Work is normally performed in an office environment.
- Occasional travel may be required.
- Some extended hours may be required.
-
Technician I Per Diem-uchc Adtc
2 weeks ago
Rutgers University Avenel, United States**Position Details**: · - Position Information**Recruitment/Posting Title** · - Technician I Per Diem-UCHC ADTC**Job Category** · - Staff & Executive - Allied Health - Medical Assisting**Department** · - UCHC-Ph-Adtc-Rn-3 Positions**Overview** · We are committed to being a leader ...
-
Program Aide
3 weeks ago
New Jersey Institute for Disabilities Iselin, United States P/TThe New Jersey Institute for Disabilities (NJID) is one of the largest not-for-profit agencies of its kind in the nation, providing services to infants, children, and adults with developmental and related disabilities. NJID offers specialized facilities, programs, and support thr ...
-
Sales Development
4 days ago
Horizon Group Sewaren, NJ, United States Freelance**Bevermann Sales** is a sales service provider that supports international technology companies in marketing their products, solutions, and services. Our typical tasks include launching new products, acquiring new customers, and developing partnerships and customer relationships ...
-
Nexus Innovations Hopelawn, NJ, United States FreelanceThe district of Rotenburg (Wümme) with approximately 164,000 inhabitants (m/f/d) is located between Hamburg and Bremen and is part of the Hamburg metropolitan region. The district administration is located in the city of Rotenburg (Wümme) and offers a diverse range of cultural, e ...
-
System Administrator
3 weeks ago
SilverLinx Iselin, United StatesAbout Neubrandenburger Stadtwerke GmbH: · We are a municipal multiservice specialist for supply and disposal as well as services in the public sector. This makes us the most important and economically successful subsidiary of the city of Neubrandenburg. Horizontal cooperation and ...
-
Principal Scientist, Clinical Research
3 weeks ago
Merck Sharp & Dohme Rahway, United StatesOur company is a global health care leader with a diversified portfolio of prescription medicines, vaccines and animal health products. Today, we are building a new kind of healthcare company - one that is ready to help create a healthier future for all of us. Our ability to exce ...
-
Scientist, Small Molecule Analytical Research
2 weeks ago
Merck Sharp & Dohme Rahway, United States**Scientist, Small Molecule** Analytical** Research & Development** · The Small Molecule Analytical Research and Development group has an opening for a Scientist based in Rahway, NJ. Join us and experience our culture first-hand - one of strong ethics & integrity, diversified exp ...
-
Distinguished Scientist
3 weeks ago
Merck Sharp & Dohme Rahway, United StatesWe are seeking an exceptional scientific leader for the role of Distinguished Scientist which is an Executive Director level reporting to an Associate Vice President in Development Sciences & Clinical Supply. · - Advanced Analytics/Machine Learning-Enabled Experimental Design · - ...
-
Scale Attendant
3 weeks ago
Covanta Rahway, United StatesWho we are · For more than 40 years, Reworld has been a leader in sustainable waste solutions, providing our customers with innovative solutions that help them achieve carbon-negative outcomes. · Our Vision · Reworld is leading the charge to a carbon-negative future through revol ...
-
Associate Vice President/therapeutic Area Head
2 weeks ago
Merck Sharp & Dohme Rahway, United StatesThe Associate Vice President (AVP) will be responsible for leading the Translational Medicine (TMed) Cardiovascular & Respiratory Therapeutic Area and strategy, bridging the continuum from Discovery Research through Late-Stage Clinical Development. The AVP provides strategic over ...
-
Employee Warehouse Logistics
4 days ago
Redwood Ventures Keasbey, NJ, United States FreelanceWe are a well-established technical wholesale company in Northern Germany, specializing in the distribution of drive technology, personal protective equipment, fittings, industrial equipment, machinery, pneumatics, hoses, tools, and all other technical products. We are a reliable ...
-
Structural engineer in
4 days ago
Diamond Dynamics Carteret, NJ, United States FreelanceWe are looking for reinforcements to support our team and successfully realize our projects at our company headquarters in Carteret, NJ. We are currently seeking a Structural Engineer (m/f/d) to join our team. · Responsibilities: · - Perform structural calculations for facade com ...
-
Registered Nurse
2 weeks ago
BAYADA Home Health Care Metuchen, United StatesCome for the Flexibility, Stay for the Culture · Are you feeling burned out? Craving work-life balance? · BAYADA Offers Our Registered Nurses: · One on one care · Flexible scheduling based on your preferences · Weekly pay · Preventive Care Coverage for ALL employees (PRN included ...
-
Employee Cleaning
4 days ago
Redwood Ventures Rahway, NJ, United States Freelance"Right in the middle of life", the DOMICIL Group ensures the well-being of our residents at over 45 locations with over 5,500 dedicated colleagues in Rahway, NJ. · We are a family-owned and operated company and believe that trust is built through actions, not promises. That's why ...
-
Operative purchaser
3 days ago
Titan Industries Amboy, United StatesJob is not just a job. It should fit you, challenge you, and be appropriately paid. We believe this too, which is why PAMEC connects you with companies that truly fit you. If you love your job, we do ours right - and we've been doing it since 1984. · Looking for: A purchasing pro ...
-
MSD Rahway, United StatesWe are a research-driven biopharmaceutical company. Our mission is built on the simple premise that if we "follow the science" that great medicines can make a significant impact to our world. We believe that a research driven · enterprise dedicated to world-class science can succ ...
-
Merck Sharp & Dohme Rahway, United StatesWe are a research-driven biopharmaceutical company. Our mission is built on the simple premise that if we "follow the science" that great medicines can make a significant impact to our world. We believe that a research drivenenterprise dedicated to world-class science can succeed ...
-
Principal Scientist – Device Project Lead
1 week ago
Merck Sharp & Dohme Rahway, United States**Device Development Principal Scientist - Device Development Lead (Director Equivalent)** · - Our company's Device Development (DD) Team designs, develops, and commercializes novel biologic/drug/vaccine - device enabled combination products to achieve safe and effective delivery ...
-
Principal Scientist, Upstream Bio Process
1 week ago
Merck Sharp & Dohme Rahway, United States**Position Description**: · **Principal Scientist, Upstream Bio Process Development** · BPR&D within our Company's Research Laboratories is on a mission to rapidly deliver diverse biotherapeutics to patients by efficiently developing innovative, robust manufacturing processes and ...
-
Member Service Representative
3 weeks ago
Tipmont Wintek Linden, United States**Are you our next member services representative?** · Do you pride yourself on delivering exceptional experiences in which customers have been helped, heard, understood and empowered? Can you keep a calm, clear and constructive approach during a difficult conversation? Would you ...
Senior Analyst, Public Offerings - Woodbridge Township, United States - finra
Description
The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. This is intermediate-level professional work in which incumbents are performing their assigned roles, applying professional expertise, and working under limited supervision.Essential Job Functions:
Other Responsibilities:
Education/Experience Requirements:
Working Conditions:
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.
California: Minimum of $78,900, Maximum Salary $146,900
Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800
Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300
New York, NY: Minimum Salary $82,200, Maximum Salary $146,900
Washington State: Minimum Salary $68,500, Maximum Salary $140,800
#LI-Hybrid
