Investment Banking Compliance Analyst

📋 Description

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and
• Review private securities offerings and applicable Securities Act exemptions, with particular
• Analyze M&A, secondary, and other private market transactions for applicable securities-law and
• Review M&A transactions under the federal M&A broker exemption framework and identify
• Support applicable FINRA private placement requirements, including Rules 5122 and 5123.
• Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant

🎯 Requirements

• Bachelor’s degree or equivalent professional experience.
• 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law
• Working knowledge of private placements and exemptions from Securities Act registration
• Familiarity with FINRA requirements applicable to private placements and investment banking
• Ability to understand complex transaction structures and legal, financial, and offering documents.
• Strong analytical skills, sound judgment, and intellectual curiosity.

🎁 Benefits

• 100% Remote work
• Generous Paid Time Off
• Benefits Package
• Paid Family Leave
• Diverse and inclusive culture