Compliance Analyst
May 18, 2023
Description
• Investment surveillance • Surveillance of electronic communications • Investigate potential issues discovered during electronic communications surveillance; collaborate with compliance team to resolve or escalate issues • Document review • Assist the compliance team with maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies • Monitor, test, and provide written results for same as they relate to the Firm’s compliance policies and procedures • Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned
Requirements
• A strong educational background including an undergraduate degree and a minimum of 2 years of relevant experience • FINRA Series 7 and 63 licenses • Ability to obtain the Series 24 license within 90 days of hire date • Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels • Service-oriented with the ability to seek logical, equitable, and compliant solutions • Ability to, prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in fast-paced, changing environment • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive, and proactive manner • Excellent organizational, written, verbal skills • Knowledge of the private placement and crowdfunding business, including products, compliance, and administration • Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation CF, and Regulation D • Ability to collect and evaluate financial, transactional, or other data to determine trends • Detail-oriented and focused on producing an accurate high-quality work product • Able to perform with minimal supervision
Benefits
• Compensation commensurate with experience • Annual discretionary bonus • Healthcare, dental, vision, disability • 401(k) + match • Company equity • A challenging, fast-paced, continually changing environment
Apply Now