Remote Investment Banking Compliance Analyst

Finalis, Inc.; United States; Remote; USD 80.000 - 120.000; Vollzeit

Benefits dieser Stelle

Paid Time Off

Flex Days

Healthcare

401k

Paid Family Leave

Diverse culture

Zusammenfassung

Finalis, Inc. is seeking an Investment Banking Compliance Analyst to guide compliance throughout the transaction lifecycle, from engagement to closing, within the private markets and investment banking practice.

The ideal candidate will be intellectually curious, able to analyze complex structures, and serve as a trusted compliance resource to bankers and registered representatives, with preferred background in broker-dealer compliance and private placements.

Qualifikationen

• Bachelor’s degree or equivalent professional experience.
• 3+ years of experience in broker-dealer compliance or investment banking.
• Working knowledge of private placements and Regulation D exemptions.

Aufgaben

• Review proposed engagements and transaction structures for compliance with securities laws, FINRA requirements, and Finalis policies.
• Analyze M&A, secondary, and private market transactions for securities-law and broker-dealer considerations.
• Support closing and regulatory filings; document conclusions and approvals.

Kenntnisse

Analytical skills

Communication skills

Intellectual curiosity

Attention to detail

Ausbildung

Bachelor's degree or equivalent

Jobbeschreibung

Finalis, Inc. is seeking an Investment Banking Compliance Analyst to guide compliance throughout the transaction lifecycle, from engagement to closing, within the private markets and investment banking practice.

The ideal candidate will be intellectually curious, able to analyze complex structures, and serve as a trusted compliance resource to bankers and registered representatives, with preferred background in broker-dealer compliance and private placements.