Investment Banking Compliance Analyst

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $65k - $90k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis (FP&A)

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

💼 Consulting

📦 Logistics

📣 Marketing

Consulting • Logistics • Marketing

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors. Additionally, Finalis provides leverage to securities brokers with the Finalis Hub, offering a hassle-free deal management solution and a Marketplace that connects brokers for insights and collaboration. Launched in 2020, this SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

📋 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, especially 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 when registered broker-dealer involvement is required. • Support FINRA private placement requirements, including Rules 5122 and 5123. • Conduct risk-based due diligence on issuers, sponsors, control persons, and other transaction parties; evaluate red flags. • Review offering materials, organizational documents, financial information, transaction agreements, and other 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 approved structures. • 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 translate regulatory requirements into practical guidance. • Stay current on regulatory developments affecting private placements, M&A, and private market transactions. • Finalis enables independent and boutique investment banking firms to operate legally and compliantly through regulatory affiliation and compliance infrastructure.

🎯 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, are a bonus. • Experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123 is a bonus. • Experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework is a bonus. • Experience reviewing investment banking engagement letters, offering documents, purchase agreements, subscription documents, and closing materials is a bonus. • Experience conducting issuer or transaction-level due diligence and evaluating regulatory or compliance red flags is a bonus. • Familiarity with private funds, SPVs, secondary transactions, or other complex private market structures is a bonus. • Experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization is a bonus.

🏖️ Benefits

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