Compliance Analyst

Job Summary

The Compliance Analyst will work with all functional teams of the firm to meet the business objectives defined by the management team. Responsibilities include assuring the Firm is meeting its obligations relative all applicable securities laws and statutes of the SEC, FINRA, and the states – including but not necessarily limited to the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation CF, and Regulation D.
Primary Responsibilities

  • 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
  • Advertising and communications analysis, review, and approval
  • Transactional surveillance
  • Assist with the preparation and filing of regulatory correspondence

Additional Responsibilities

  • Prepare adhoc reports as needed 
  • Other duties as assigned

Required Qualifications

  • 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
  • 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

  • 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

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