Investment Banking Compliance Analyst

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

📋 Description

• Evaluate proposed investment banking engagements, engagement letters, compensation structures, and transaction frameworks for adherence to securities regulations, FINRA standards, and Finalis guidelines.

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

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

• Analyze M&A transactions within the context of the federal M&A broker exemption framework, determining when registered broker-dealer participation is necessary.

• Assist with FINRA private placement obligations, including Rules 5122 and 5123.

• Perform risk-based due diligence on issuers, sponsors, control individuals, and other parties involved in transactions; identify potential issues.

• Review offering documents, organizational materials, financial data, transaction agreements, and additional due diligence documentation.

• Collaborate with bankers to address diligence and compliance inquiries while documenting conclusions, conditions, and approvals.

• Oversee transactions for significant alterations and verify that transaction and closing documentation aligns with approved frameworks.

• Facilitate transactions through to closing, ensuring compliance with conditions, maintaining records, and fulfilling necessary regulatory filings.

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

• Engage in transaction discussions and convert regulatory requirements into actionable guidance.

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

• Finalis empowers independent and boutique investment banking firms to function legally and compliantly through regulatory partnerships and compliance infrastructure.

⛳️ Requirements

• Bachelor’s degree or equivalent professional experience.

• A minimum of 3 years of pertinent 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.

• Acquainted with FINRA requirements relevant to private placements and investment banking operations.

• Capacity to grasp complex transaction structures and legal, financial, and offering documentation.

• Strong analytical capabilities, sound judgment, and a keen intellectual curiosity.

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

• Proven ability to juggle multiple active transactions and competing deadlines in a dynamic environment.

• Relevant FINRA registrations, including Series 7, 24, 79, and/or 82, are advantageous.

• Experience in evaluating Regulation D offerings and FINRA Rules 5122 and 5123 is a plus.

• Familiarity with M&A transactions and analyzing them under the federal M&A broker exemption framework is a plus.

• Background in reviewing investment banking engagement letters, offering documents, purchase agreements, subscription forms, and closing materials is a plus.

• Experience conducting issuer or transaction-level due diligence and assessing regulatory or compliance concerns is a plus.

• Knowledge of private funds, SPVs, secondary transactions, or other intricate private market structures is a plus.

• Experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial services regulatory entity is a plus.

🏝️ Benefits

• 100% Remote work

• Generous Paid Time Off

• Benefits Package

• Paid Family Leave

• Diverse and inclusive culture