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, reviewing engagements, conducting due diligence, and serving as a compliance resource for investment bankers.

Key responsibilities

• Review proposed investment banking engagements and transaction structures for compliance with securities laws and FINRA requirements
• Conduct risk-based due diligence on transaction parties and monitor transactions for material changes through closing
• Serve as a day-to-day compliance resource for investment bankers, 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
• Ability to understand complex transaction structures and legal documents