Senior Compliance Analyst - Corporate Finance

Software Guidance & Assistance, Inc., (SGA), is searching for a Senior Compliance Analyst - Corporate Finance for a CONTRACT assignment with one of our premier Regulatory clients in Rockville, MD.

The Senior 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 also includes supporting key operational functions and Department initiatives and projects and developing a deep knowledge of rules, regulations, statutes, and compliance policies that are relevant and applicable to capital formation. This position is for a professional-level individual contributor who works under close supervision.

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.

Required 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.

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.