Senior Compliance Analyst

Primary Responsibilities

• Analyze, review, and approve content for private placement securities offerings to ensure compliance with applicable regulations.
• Investigate and resolve or escalate issues related to investment and electronic communications surveillance.
• Review and analyze documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation.
• Aid in the development, testing, and maintenance of compliance policies and procedures.
• Contribute to compliance-related projects, reviews, and other tasks as assigned.

Required Qualifications

• A bachelor's degree with at least 5 years of relevant experience.
• FINRA Series 7, 63, and 24 licenses.
• Strong analytical, organizational, and written/verbal communication skills.
• Knowledge of federal securities regulations, including the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation D, Regulation CF, and Regulation A+.
• Understanding of private placement and crowdfunding processes, including capital raise, due diligence, compliance, and administration.
• Service-oriented approach with the ability to find logical, equitable, and compliant solutions.
• Attention to detail and the ability to produce accurate and high-quality results.
• Effective teamwork and problem-solving skills within a small startup environment.
• Ability to prioritize tasks, manage time effectively, and adapt to a fast-paced, changing environment.
• Experience working with AI tools to support the hiring process.

Perks

• Compensation commensurate with experience.
• Annual discretionary bonus.
• Healthcare, dental, vision, and disability insurance.
• 401(k) with a company match.
• Equity in the company.
• A challenging, fast-paced, continually changing work environment.
• A fully stocked break room.