Senior Securities Compliance Lead for Capital Raising

BaRupOn LLC; Liberty (TX); Presencial; USD 120 000 - 170 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Competitive salary + bonus based on项目?

Health, dental, and vision insurance

401(k) with employer match

Paid time off and holidays

Legal education/professional licensing

Resumo da oferta

BaRupOn LLC in Liberty, Texas seeks a Securities Compliance Officer to oversee capital-raising compliance, investor disclosures, and securities law adherence across federal, state, and international contexts.

The role requires a deep understanding of Regulation D and private placements, with experience in SPVs and infrastructure finance, plus excellent written communication and risk assessment skills to support ongoing fundraising efforts.

Qualificações

• Bachelor's degree required; J.D., Series 7/63, or relevant legal/compliance certification preferred.
• Strong knowledge of SEC rules, Reg D offerings, Blue Sky compliance, and private placements.
• Experience with SPVs, institutional fundraising, or infrastructure finance is a plus.

Responsabilidades

• Ensure compliance with federal and state securities laws (e.g., Regulation D, Rule 506(b)/(c), Blue Sky filings)
• Draft, review, and manage offering documents, investor disclosures, and compliance certifications
• Monitor communications with potential investors to ensure adherence to securities marketing rules
• Conduct regulatory due diligence for offerings, SPVs, and fundraising structures
• Coordinate with legal counsel to manage filings and maintain compliance calendars
• Train internal teams on securities‑related communication protocols and legal boundaries
• Track and manage regulatory risks related to investor outreach (US and international)
• Interface with legal, finance, and investor relations teams to support ongoing fundraising rounds

Conhecimentos

Securities compliance

Regulatory risk management

Written communication

Attention to detail

Investor disclosures

Formação académica

Bachelor's degree

J.D./Series 7/63

Descrição da oferta de emprego

BaRupOn LLC in Liberty, Texas seeks a Securities Compliance Officer to oversee capital-raising compliance, investor disclosures, and securities law adherence across federal, state, and international contexts.

The role requires a deep understanding of Regulation D and private placements, with experience in SPVs and infrastructure finance, plus excellent written communication and risk assessment skills to support ongoing fundraising efforts.