Investment Banking Compliance Analyst

Job Summary

Supporting the investment banking and private markets business, the full-time remote Investment Banking Compliance Analyst will provide compliance guidance throughout the transaction lifecycle, working closely with investment bankers on private placements, M&A engagements, and other private market transactions.

Key responsibilities

• Review investment banking engagements, compensation arrangements, and transaction structures for compliance with securities laws and regulations
• Conduct risk-based due diligence on transaction parties and evaluate identified red flags
• Serve as a compliance resource for bankers, participating in transaction calls and translating regulatory requirements into practical guidance

Required qualifications

• Bachelor's degree or equivalent professional experience
• 3+ years of relevant experience in broker-dealer compliance, investment banking, or securities law
• 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
• Strong analytical skills and the ability to manage multiple transactions in a fast-paced environment