Investment Banking Compliance Analyst

📋 Description

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and
• Analyze private securities offerings and applicable Securities Act exemptions, with particular
• Review M&A, secondary, and other private market transactions for relevant securities-law and
• Evaluate M&A transactions under the federal M&A broker exemption framework and identify
• Support compliance with FINRA private placement requirements, including Rules 5122 and 5123
• Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant

🎯 Requirements

• Bachelor’s degree or equivalent professional experience
• 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law
• Working knowledge of private placements and exemptions from Securities Act registration
• Familiarity with FINRA requirements relevant to private placements and investment banking activities
• Ability to interpret complex transaction structures and review legal, financial, offering, and
• Strong analytical skills, sound professional judgment, and genuine intellectual curiosity

🎁 Benefits

• 100% remote work within the United States
• Generous paid time off
• Comprehensive benefits package
• Paid family leave
• Diverse and inclusive workplace culture
• Opportunity to work directly on sophisticated investment banking and private market transactions