Investment Banking Compliance Analyst
New
F
FinalisInvestment Banking
USAFull-TimeMiddle
Salary65,000 - 90,000 USD per year
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Job Details
- Experience
- 3+ years
Requirements
- Bachelor’s degree or equivalent professional experience.
- 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, or private markets.
- 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.
- Ability to analyze complex transaction structures and legal/financial offering documents.
- Strong analytical skills, sound judgment, and intellectual curiosity.
- Excellent written and verbal communication skills.
- Ability to manage multiple active transactions and competing deadlines.
- Experience with FINRA registrations such as Series 7, 24, 79, or 82 (preferred).
- Experience with M&A broker exemption frameworks and issuer-level due diligence (preferred).
Responsibilities
- Review investment banking engagements, engagement letters, compensation arrangements, and transaction structures for regulatory compliance.
- Evaluate private securities offerings under Regulation D and Rules 506(b) and 506(c).
- Analyze M&A, secondary, and private market transactions for broker-dealer considerations and the M&A broker exemption framework.
- Conduct risk-based due diligence on issuers and stakeholders, evaluating red flags and reviewing transaction documentation.
- Partner with investment bankers to provide daily compliance guidance, resolve regulatory questions, and document approvals.
- Monitor transactions for material changes and ensure compliance through to closing and record-keeping.
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