Senior Compliance Analyst

Primary Responsibilities

• Analysis, review, and approval of content, including materials developed in conjunction with the due diligence process for private placement securities offerings, to ensure adherence to applicable compliance regulations for both issuers and the broker dealer;
• Investment and electronic communication surveillance, collaboration with compliance team to investigate and resolve or escalate issues;
• Analysis and review of documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation;
• Assist the compliance team with developing, testing, and maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies; and
• Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned.

Required Qualifications

• A strong educational background, including an undergraduate degree and at least 5 years of relevant experience
• FINRA Series 7, 63, and 24 licenses
• Excellent analytical skills, strong organizational, written, verbal skills
• Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation D, Regulation CF, and Regulation A+
• Knowledge of the private placement and crowdfunding business, including the capital raise process, products, due diligence, compliance, and administration
• Service-oriented with the ability to seek logical, equitable, and compliant solutions in a collaborative, professional, and proactive manner
• Detail-oriented and focused on producing accurate and high-quality results
• Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels
• Ability to, prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in fast-paced, changing environment
• Able to perform both collaboratively and with minimal supervision

Perks

• Compensation commensurate with experience
• Annual discretionary bonus
• Healthcare, dental, vision, disability
• 401(k) + match
• Company equity
• A challenging, fast-paced, continually changing environment
• Fully stocked break room