Investment Banking Compliance Analyst

🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $80k - $120k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis (FP&A)

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2020

💰 $10.7M Seed Round on 2022-06

Finalis is a company; the provided content is only website CSS, cookie-notification text and other frontend markup. There is no product, service, or industry information in the supplied text, so the company's business focus cannot be determined from this input.

📋 Description

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with securities laws, FINRA requirements, and Finalis policies • Review private securities offerings and Securities Act exemptions, particularly Regulation D and Rules 506(b) and 506(c) • Analyze M&A, secondary, and other private market transactions for securities-law and broker-dealer considerations • Review M&A transactions under the federal M&A broker exemption framework and identify circumstances requiring registered broker-dealer involvement • Support FINRA private placement requirements, including Rules 5122 and 5123 • Conduct risk-based due diligence on issuers, sponsors, control persons, and other transaction parties • Review offering materials, organizational documents, financial information, transaction agreements, and diligence materials • Work with bankers to resolve diligence and compliance questions and document conclusions, conditions, and approvals • Monitor transactions for material changes and review transaction and closing documentation for consistency with the approved structure • Support transactions through closing, including compliance conditions, books and records, and required regulatory filings • Serve as a day-to-day compliance resource for investment bankers and registered representatives • Participate in transaction calls and resolve regulatory and compliance questions • Translate regulatory requirements into clear, practical guidance • Stay current on regulatory developments affecting private placements, M&A, and private market transactions

🎯 Requirements

• Bachelor’s degree or equivalent professional experience • 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or a related field • Working knowledge of private placements and exemptions from Securities Act registration, particularly Regulation D • Familiarity with FINRA requirements applicable to private placements and investment banking activities • Ability to understand complex transaction structures and legal, financial, and offering documents • Strong analytical skills, sound judgment, and intellectual curiosity • Excellent written and verbal communication skills and comfort working directly with investment bankers and other sophisticated stakeholders • Ability to manage multiple active transactions and competing deadlines in a fast-paced environment • Relevant FINRA registrations, including Series 7, 24, 79, and/or 82 (bonus) • Experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123 (bonus) • Experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework (bonus) • Experience reviewing investment banking engagement letters, offering documents, purchase agreements, subscription documents, and closing materials (bonus) • Experience conducting issuer or transaction-level due diligence and evaluating regulatory or compliance red flags (bonus) • Familiarity with private funds, SPVs, secondary transactions, or other complex private market structures (bonus) • Experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization (bonus)

🏖️ Benefits

• 100% Remote work • Competitive USD salary • Generous Paid Time Off • Additional Flex Days • Benefits Package (Healthcare, Medical, Vision, Dental, 401k) • Paid Family Leave • Diverse and inclusive culture

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