Posted 22 months ago

Senior Compliance Analyst

AustinOn-siteFull-time

AI Summary

Senior Compliance Analyst responsible for ensuring regulatory adherence across private placement securities, evaluating due diligence materials, and assisting policy development in a fast-paced financial startup.

About this role

The Senior Compliance Analyst role is an integral function with the MicroVentures 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 excel 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-related projects, reviews, and other tasks as assigned.

Required Qualifications

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

FINRA Series 7, 63, and 24 licenses

Excellent analytical skills, strong organizational, written, verbal skills

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

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

Service-oriented with the ability to seek logical, equitable, and compliant solutions in a collaborative, professional, and proactive manner

Detail-oriented and focused on producing accurate and high-quality results

Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels

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

Able to perform both collaboratively and with minimal supervision

Perks

Compensation commensurate with experience

Annual discretionary bonus

Healthcare, dental, vision, disability

401(k) + match

Company equity

A challenging, fast-paced, continually changing environment

Fully stocked break room

Skills

Accreditation VerificationArticles Of OrganizationCompliance Program DevelopmentDue DiligenceElectronic Communication SurveillanceFINRA Series 24FINRA Series 63FINRA Series 7Investment Advisers Act Of 1940Investment Company Act Of 1940Policies And ProceduresRegulation A+Regulation CFRegulation DSecurities Act Of 1933Trust Agreements

Senior Compliance Analyst

About this role

Primary Responsibilities

Required Qualifications

Perks

Skills

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