Under general direction and supervision, uses knowledge and skills obtained through education and experience to assist the lead legal and compliance liaison perform internal pre-marketing/offering review for negotiated municipal and non-profit underwritings and placements. Assists with transaction document review to ensure compliance with regulatory and internal policies and procedures regarding clients seeking capital market and/or private financing, with responsibility to assist in the coordination of the committee process for each transaction, and advancing transactions through the pipeline accordingly. Assist in review and verification that appropriate due diligence investigations were conducted and documented by bankers. Maintains proper documentation files and monitors compliance with firm policies regarding transaction deal flow and processing. Review various reports and materials to ensure compliance with organizational policies and applicable guidelines. Has understanding and practical working knowledge of applicable SEC, MSRB, and similar rules and regulations. Monitors the internal underwriting deal-flow process from start to finish under the direction of the Senior Manager of Operations & Risk. Assists in the review of in-bound commitment committee new transaction submissions to assess accuracy and compliance with regulatory and firm policies and procedures. Coordinates the scheduling of commitment committee meetings and sharing of committee documents. Works with other centralized Public Finance associates on various departmental projects and operating protocols. Assists in bi-monthly review of delinquent deal files and follow-up with responsible parties. Reviews and documents various MSRB monthly reports for compliance. Remains diligently abreast of proposed, pending, and implemented legal, compliance, and regulatory changes effecting the industry, including both underwriting and advisory. Performs other duties and responsibilities as assigned. Knowledge of fundamental concepts, practices, and procedures of Public Finance, Debt Investment Banking, and Municipal Advisory industry. Lending procedures, regulatory requirements, and investment banker/client relationships. Municipal Financial Markets and Products. Public offerings of debt obligations via official statements. SEC Rule 15c2-12 and the Municipal Advisory Rule. MSRB Rules and best practices applicable to municipal advisory engagements and municipal debt transactions. Potential investor classifications such as Qualified Institutional Buyers and Accredited Investors. Private placements and limited public offerings. Municipal or Debt Investment Banking transaction pipe-line review and administration. Skill in communicating effectively, both orally and in writing. Analytical skills sufficient to assess and explain municipal and non-profit debt offerings. Deal processing software platforms; prior experience with iMPACT solution for municipal transactions preferred. Attention to nuanced details. Ability to distill information, identify missing components, linkages, and trends; apply findings to reports to the Senior Manager of Operations & Risk. Attention to detail while maintaining a big picture orientation. Remain cognizant of our commitment to daily workflow and regulatory compliance during high volume activity. Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. Establish and maintain effective working relationships at all levels of the organization. Work independently as well as collaboratively within a team environment. Assume full responsibility and accountability for own actions. Prepare and deliver clear, effective, and professional presentations. Communicate both orally and in writing, with all levels of the organization. Demonstrate uncompromising adherence to ethical principles. Be initiative-taking and demonstrate readiness and ability to initiate action. Educational/Previous Experience Requirements: Bachelor’s Degree and a minimum of three (3) years of securities transaction review experience. Experience in municipal public finance or municipal advisory engagements is preferred. OR Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications: None required. SIE, Series 52, and Series 63, preferred. Passage of SIE, Series 52, Series 50, and Series 63, may be required as responsibilities grow over time. Travel Required: Yes, infrequently: 5-10% of the time. Education: Bachelor’s: Accounting (Required), Bachelor’s: Finance (Required), Bachelor’s: Operations Management (Required). Work Experience: General Experience - 7 to 12 months. Certifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA). Salary Range: $70,000.00-$75,000.00. Travel: Less than 25%. Workstyle: Resident.
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