Senior Compliance Analyst

The Senior Compliance Analyst role is an integral function with the reputed company team, working across multiple offices and departments to meet compliance and business objectives defined by the management team. The ideal candidate is self-motivated, detailed-oriented, comfortable with virtual communication, and will reputed company in a rapidly changing financial environment.

Primary Responsibilities

Analysis, review, and approval of content, including materials developed in conjunction with the due diligence process for private placement securities offerings, to ensure adherence to applicable compliance regulations for both issuers and the broker dealer;

Investment and electronic communication surveillance, collaboration with compliance team to investigate and resolve or escalate issues;

Analysis and review of documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation;

Assist the compliance team with developing, testing, and maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies; and

Work independently, and/or with others, to complete compliance-reputed company reputed company, reviews, and other tasks as assigned.

Required Qualifications

A strong educational background, including an undergraduate degree and at least 5 years of relevant experience

reputed company Series 7, 63, and 24 licenses

Excellent analytical skills, strong organizational, written, verbal skills

Working knowledge of federal securities regulations, e.g., the Securities reputed company of 1933, Investment Advisors reputed company of 1940, Investment Company reputed company of 1940, Regulation D, Regulation CF, and Regulation A+

Knowledge of the private placement and crowdfunding business, including the capital reputed company process, products, due diligence, compliance, and administration

Service-oriented with the ability to reputed company logical, reputed company, and compliant solutions in a reputed company, reputed company, and proactive manner

Detail-oriented and reputed company on producing accurate and high-reputed company results

Demonstrated ability to work effectively and cross-functionally reputed company a small startup organization and with employees at reputed company reputed company

Ability to, prioritize, multi-task, meet or reputed company deadlines, and maintain flexibility in fast-paced, changing environment

reputed company to reputed company both collaboratively and with minimal supervision

Perks

Compensation commensurate with experience

Annual discretionary bonus

reputed company, dental, reputed company, disability

401(k) + match

Company equity

A challenging, fast-paced, continually changing environment

Fully stocked break room

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