Investment Banking Compliance Analyst

Finalis
United States
Workplace: RemoteFull timeUSD 65,000 - 90,000 annuallyFunction: Legal, Risk & ComplianceExperience: 3+ yearsEducation: bachelorsSkills: ["Analytical skills","Sound judgment","Intellectual curiosity","Written communication","Verbal communication"]

Support investment banking and private markets transactions by reviewing engagement letters, compensation arrangements, and transaction structures for securities-law and FINRA compliance. Conduct risk-based due diligence on issuers and transaction parties, resolve diligence questions with bankers, and monitor documentation through closing and required filings. Serve as a day-to-day compliance resource, translating regulatory requirements into practical guidance while staying current on developments.

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Finalis
Finalis
4 days ago

Investment Banking Compliance Analyst

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Last checked: 12 hours agoStatus: Live

Job Summary

Support investment banking and private markets transactions by reviewing engagement letters, compensation arrangements, and transaction structures for securities-law and FINRA compliance. Conduct risk-based due diligence on issuers and transaction parties, resolve diligence questions with bankers, and monitor documentation through closing and required filings. Serve as a day-to-day compliance resource, translating regulatory requirements into practical guidance while staying current on developments.
Location: United States
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Review investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and company policies.
  • •Review private securities offerings and Securities Act exemptions with emphasis on Regulation D and Rules 506(b) and 506(c).
  • •Conduct risk-based due diligence on issuers, sponsors, control persons, and other transaction parties and evaluate regulatory/compliance red flags.
  • •Support transactions by resolving diligence and compliance questions, documenting conclusions, and monitoring material changes through closing.
  • •Serve as a day-to-day compliance resource for investment bankers and registered representatives, translating regulatory requirements into practical guidance.

Pay and Benefits

Salary: USD 65,000 - 90,000 annually
Perks:Remote WorkPaid Leave

Key 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 Securities Act exemptions, especially Regulation D and Rules 506(b) and 506(c).
  • •Familiarity with FINRA requirements for private placements and investment banking activities, including Rules 5122 and 5123.
  • •Ability to analyze complex transaction structures and understand legal, financial, and offering documents.
Experience:3+ yearsBroker-dealer complianceInvestment bankingSecurities lawPrivate markets
Education:Bachelor's
Skills:Analytical skillsSound judgmentIntellectual curiosityWritten communicationVerbal communication
Certifications:FINRA Series 7FINRA Series 24FINRA Series 79FINRA Series 82

Company Brief

Finalis
Provides a regulatory affiliation, compliance back-office, and deal-management platform that enables private market dealmakers, investment bankers, and placement agents to execute transactions compliantly and collaborate via a marketplace and hub.
Industry: RegTech
Company Size: Medium (51 to 250 employees)
Growth: Early Stage Startup
Valuation: USD 50M to 100M
Funding: Seed
Headquarters: San Francisco, United States
Founded: 2020
Glassdoor
Glassdoor: 2.8
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