Remote Investment Banking Compliance Analyst

Finalis; United States; Teletrabalho; USD 80 000 - 120 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Generous Paid Time Off

Flex Days

Benefits Package (Healthcare, Medical,

Paid Family Leave

Diverse and inclusive culture

Resumo da oferta

Finalis is seeking an Investment Banking Compliance Analyst to support its investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. You will work directly with investment bankers and registered representatives on private placements, M&A engagements, and other private market transactions from engagement through closing.

The ideal candidate is intellectually curious, comfortable analyzing complex structures, asking thoughtful questions,

Qualificações

• 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or a related field.
• Familiarity with private placements and exemptions from Securities Act registration, Regulation D.
• Familiarity with FINRA requirements applicable to private placements and investment banking activities.

Responsabilidades

• Review proposed engagements, letters, compensation arrangements, and structures for compliance with securities laws, FINRA requirements, and Finalis policies.
• Review private securities offerings and Regulation D exemptions (506(b)/(c)).
• Analyze M&A and other private market transactions for securities-law and broker-dealer considerations.
• Identify circumstances requiring registered broker-dealer involvement under the M&A broker exemption framework.
• Support FINRA private placement requirements (Rules 5122/5123).
• Conduct risk-based due diligence on issuers, sponsors, control persons, and other parties; evaluate red flags.
• Review offering materials, documents, financials, and transaction agreements; document conclusions and approvals.
• Assist bankers to resolve diligence questions and ensure closing documentation aligns with approved structure.

Conhecimentos

Analytical skills

Judgment

Intellectual curiosity

Communication skills

Multi-tasking

Transaction structure understanding

Formação académica

Bachelor’s degree or equivalent experience

Descrição da oferta de emprego

Finalis is seeking an Investment Banking Compliance Analyst to support its investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. You will work directly with investment bankers and registered representatives on private placements, M&A engagements, and other private market transactions from engagement through closing.

The ideal candidate is intellectually curious, comfortable analyzing complex structures, asking thoughtful questions,