Remote 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

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