Note: The job is a remote job and is open to candidates in USA. Software Guidance & Assistance, Inc. (SGA) is searching for a Senior Compliance Analyst - Corporate Finance for a contract assignment with one of their premier regulatory clients in Rockville, MD. The Senior Analyst is responsible for conducting reviews and investigative matters on public offering and private placement filings, supporting operational functions, and developing knowledge of relevant compliance policies.
Responsibilities
- Conducts routine and complex assessments and analysis of FINRA firms' Corporate Financing filings and related investigative matters
- Analyzes filings for violations of rules, regulations, statutes, and policies
- Drafts well-written correspondence and analysis. Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections
- Monitors workflow and task completion
- Responds to internal and external requests and inquiries regarding filings reviews
- Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers
- Participates in and contributes to internal and external meetings related to assigned work
- Keeps current with relevant and applicable rules, regulations, statutes, and policies governing filings
- Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team
- Demonstration of firm values
- Collaboration, both in-person and virtually, in furtherance of firm mission of investor protection and market integrity
Skills
- Bachelor's degree in Finance, Accounting, Business, or related field and at least three (3) years of related industry experience
- Demonstrate initiative to work on projects involving data analytics
- Excellent written and oral communication skills
- Excellent organizational skills
- Must be detailed oriented
- Ability to manage assigned work and multiple priorities
- Excellent time-management and problem-solving skills
Benefits
- W2 option
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