Investment Banking Compliance Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Assess proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures to ensure adherence to securities laws, FINRA regulations, and Finalis policies.

• Evaluate private securities offerings and Securities Act exemptions, focusing particularly on Regulation D and Rules 506(b) and 506(c).

• Examine M&A, secondary, and various private market transactions for compliance with securities-law and broker-dealer considerations.

• Review M&A transactions in accordance with the federal M&A broker exemption framework and pinpoint situations that necessitate registered broker-dealer involvement.

• Assist in meeting FINRA private placement requirements, including Rules 5122 and 5123.

• Perform risk-based due diligence on issuers, sponsors, control persons, and other parties involved in transactions.

• Analyze offering materials, organizational documents, financial data, transaction agreements, and due diligence materials.

• Collaborate with bankers to address due diligence and compliance inquiries, documenting findings, conditions, and approvals.

• Track transactions for significant changes and review transaction and closing documentation to ensure alignment with the approved structure.

• Facilitate transactions through to closure, ensuring compliance with conditions, maintaining books and records, and completing required regulatory filings.

• Act as a daily compliance resource for investment bankers and registered representatives.

• Engage in transaction calls to address regulatory and compliance queries.

• Convert regulatory requirements into straightforward, actionable guidance.

• Keep updated on regulatory changes impacting private placements, M&A, and private market transactions.

⛳️ Requirements

• Bachelor’s degree or equivalent professional experience.

• Over 3 years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or a related discipline.

• Proficient understanding of private placements and exemptions from Securities Act registration, especially Regulation D.

• Familiarity with FINRA regulations pertinent to private placements and investment banking activities.

• Capacity to comprehend complex transaction structures along with legal, financial, and offering documents.

• Strong analytical abilities, sound judgment, and a curious intellect.

• Exceptional written and verbal communication skills, with the ability to engage effectively with investment bankers and other knowledgeable stakeholders.

• Capability to handle multiple active transactions and competing deadlines within a dynamic environment.

• Relevant FINRA registrations, including Series 7, 24, 79, and/or 82 (preferred).

• Experience in reviewing Regulation D offerings and FINRA Rules 5122 and 5123 (preferred).

• Experience with M&A transactions and analyzing them under the federal M&A broker exemption framework (preferred).

• Experience in reviewing investment banking engagement letters, offering documents, purchase agreements, subscription documents, and closing materials (preferred).

• Background in conducting issuer or transaction-level due diligence and identifying regulatory or compliance red flags (preferred).

• Familiarity with private funds, SPVs, secondary transactions, or other intricate private market structures (preferred).

• Professional experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory body (preferred).

🏝️ Benefits

• 100% Remote work.

• Competitive USD salary.

• Generous Paid Time Off.

• Additional Flex Days.

• Comprehensive Benefits Package (Healthcare, Medical, Vision, Dental, 401k).

• Paid Family Leave.

• Emphasis on a diverse and inclusive culture.