Job Description

Associate, Operations & Risk- Public Finance

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Job Summary

Under general supervision, utilizes knowledge and skills gained through education and experience to assist legal and compliance teams in performing internal review of pre-marketing and offering documents for municipal and non-profit financings. Supports transaction document review to ensure compliance with regulatory and internal policies, coordinates committee processes, and advances transactions through the pipeline. Verifies due diligence conducted by bankers, maintains documentation, and monitors compliance with firm policies. Has working knowledge of SEC, MSRB, and similar regulations.

Location

Chicago preferred, other locations considered.

Essential Duties

• Monitors the deal-flow process from start to finish.
• Reviews new transaction submissions for accuracy and compliance.
• Coordinates scheduling of committee meetings and document sharing.
• Collaborates with Public Finance associates on projects and protocols.
• Reviews delinquent deal files and MSRB reports bi-monthly.
• Stays informed on legal, compliance, and regulatory changes affecting the industry.

Knowledge, Skills, and Abilities

Knowledge of

• Public Finance, Debt Investment Banking, Municipal Advisory practices.
• Regulatory requirements, municipal markets, and debt offerings.
• SEC Rule 15c2-12, MSRB Rules, and related regulations.

Skills in

• Effective oral and written communication.
• Analytical assessment of municipal and non-profit debt offerings.
• Deal processing software, preferably iMPACT.

Abilities to

• Distill complex information and identify trends.
• Maintain attention to detail with a big-picture view.
• Manage multiple tasks in a fast-paced environment.
• Build effective relationships at all organizational levels.
• Work independently and collaboratively.
• Deliver clear, professional presentations.
• Uphold high ethical standards.

Qualifications

• Bachelors Degree in Accounting, Finance, or Operations Management.
• Minimum 3 years of securities transaction review experience; municipal finance experience preferred.
• SIE, Series 52, Series 63 licenses preferred; other certifications may be required over time.

Additional Information

Travel: Infrequent, 5-10%. Salary: $70,000 - $75,000. Workstyle: Resident. Equal opportunity employer committed to diversity and inclusion.

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