Investment Banking Compliance Analyst

Finalis; Northern (KY); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

100% Remote work

Generous PTO

Benefits Package

Paid Family Leave

Diverse and inclusive culture

Job summary

Finalis, a leading provider of regulatory compliance infrastructure for investment banking and private markets, seeks a capable Investment Banking Compliance Analyst. The role partners with investment bankers to ensure transactions meet securities laws and FINRA requirements from due diligence through closing.

The ideal candidate has 3+ years in broker-dealer compliance or related fields, strong analytical and communication skills, and the ability to navigate complex transaction structures and

Qualifications

• Bachelor’s degree or equivalent professional experience.
• 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or related field.
• Working knowledge of private placements and exemptions from Securities Act registration, particularly Regulation D.
• Familiarity with FINRA requirements applicable to private placements and investment banking activities.
• Ability to understand complex transaction structures and legal, financial, and offering documents.
• Strong analytical skills, sound judgment, and intellectual curiosity.
• Excellent written and verbal communication skills and comfort working directly with investment bankers and other sophisticated stakeholders.
• Ability to manage multiple active transactions and competing deadlines in a fast-paced environment.

Responsibilities

• Review proposed investment banking engagements for compliance with securities laws, FINRA requirements, and Finalis policies.
• Review private securities offerings and exemptions, especially Regulation D and Rules 506(b)/(c).
• Analyze M&A, secondary, and private market transactions for securities-law considerations.
• Review M&A transactions under the federal broker exemption framework; identify registered broker-dealer needs.
• Support FINRA private placement requirements, including Rules 5122 and 5123.
• Conduct risk-based due diligence on issuers, sponsors, control persons, and other transaction parties.
• Review offering materials, organizational documents, financial information, and transaction agreements.
• Work with bankers to resolve diligence and compliance questions; document conclusions and approvals.
• Monitor transactions for material changes; review closing documents for consistency with structure.
• Support transactions through closing, including regulatory filings and books/records.

Skills

Regulatory compliance

FINRA rules

Securities laws

Due diligence

Analytical thinking

Communication skills

Education

Bachelor’s degree or equivalent

Job description

What does Finalis do?

Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.

What about your team?

The Investment Banking Compliance Analyst supports Finalis’s investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. This role works directly with investment bankers and registered representatives on private placements, M&A engagements, and other private market transactions, from initial engagement and due diligence through closing.

We are looking for someone who is intellectually curious and enjoys understanding how transactions work. The strongest candidate will be comfortable analyzing complex or unfamiliar structures, asking thoughtful questions, and becoming a trusted compliance resource to our bankers.

What will you be doing?

Transaction & Regulatory Review

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and Finalis policies.

• Review private securities offerings and applicable Securities Act exemptions, with particular emphasis on Regulation D and Rules 506(b) and 506(c).

• Analyze M&A, secondary, and other private market transactions for applicable securities-law and broker-dealer considerations.

• Review M&A transactions under the federal M&A broker exemption framework and identify circumstances requiring registered broker-dealer involvement.

• Support applicable FINRA private placement requirements, including Rules 5122 and 5123.

Due Diligence & Transaction Execution

• Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant transaction parties and evaluate identified red flags.

• Review offering materials, organizational documents, financial information, transaction agreements, and other relevant diligence materials.

• Work with bankers to resolve diligence and compliance questions and appropriately document conclusions, conditions, and approvals.

• Monitor transactions for material changes and review transaction and closing documentation for consistency with the approved structure.

• Support transactions through closing, including satisfaction of applicable compliance conditions, books and records, and required regulatory filings.

Banker & Business Partnership

• Serve as a day-to-day compliance resource for investment bankers and registered representatives.

• Participate in transaction calls and work directly with bankers to understand proposed structures and resolve regulatory and compliance questions.

• Ask thoughtful questions to understand the economic substance of transactions rather than relying solely on labels or form.

• Translate regulatory requirements into clear, practical guidance while maintaining sound compliance judgment.

• Stay current on regulatory developments affecting private placements, M&A, and private market transactions.

Who are we looking for?

• 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 exemptions from Securities Act registration, particularly Regulation D.

• Familiarity with FINRA requirements applicable to private placements and investment banking activities.

• Ability to understand complex transaction structures and legal, financial, and offering documents.

• Strong analytical skills, sound judgment, and intellectual curiosity.

• Excellent written and verbal communication skills and comfort working directly with investment bankers and other sophisticated stakeholders.

• Ability to manage multiple active transactions and competing deadlines in a fast-paced environment.

Bonus Track!

• You currently hold, or have previously held, one or more relevant FINRA registrations, including the Series 7, 24, 79, and/or 82.

• You have experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123.

• You have experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework.

• You have experience reviewing investment banking engagement letters, offering documents, purchase agreements, subscription documents, and closing materials.

• You have experience conducting issuer or transaction-level due diligence and evaluating regulatory or compliance red flags.

• You have familiarity with private funds, SPVs, secondary transactions, or other complex private market structures.

• You have experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization.

What do we offer?

• 100% Remote work

• Generous Paid Time Off

• Benefits Package

• Paid Family Leave

• Diverse and inclusive culture