Compliance Analyst

Found in: beBee jobs US - 2 weeks ago

Remote, Oregon, United States MicroVentures Full time

MicroVentures, a leading equity crowdfunding platform, is seeking a Compliance Analyst. The compliance team is responsible for investment, communications, and document review to ensure the Firm meets its obligations relative to applicable federal and state securities regulations.

The Compliance Analyst role is an integral function with the MicroVentures team, working across multiple offices and departments to meet compliance and business objectives defined by the management team. The ideal candidate is self-motivated, detailed-oriented, comfortable with virtual communication, and will excel in a rapidly changing financial environment.

Primary Responsibilities

  • Investment surveillance
  • Surveillance of electronic communications
  • Investigate potential issues discovered during electronic communications surveillance; collaborate with compliance team to resolve or escalate issues
  • Document review
  • Assist the compliance team with maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies
  • Monitor, test, and provide written results for same as they relate to the Firm's compliance policies and procedures
  • Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned

Required Qualifications

  • A strong educational background including an undergraduate degree and a minimum of 2 years of relevant experience
  • FINRA Series 7 and 63 licenses
  • Ability to obtain the Series 24 license within 90 days of hire date
  • Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels
  • Service-oriented with the ability to seek logical, equitable, and compliant solutions
  • Ability to, prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in fast-paced, changing environment
  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive, and proactive manner
  • Excellent organizational, written, verbal skills
  • Knowledge of the private placement and crowdfunding business, including products, compliance, and administration
  • Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation CF, and Regulation D
  • Ability to collect and evaluate financial, transactional, or other data to determine trends
  • Detail-oriented and focused on producing an accurate high-quality work product
  • Able to perform with minimal supervision

Perks

  • Compensation commensurate with experience
  • Annual discretionary bonus
  • Healthcare, dental, vision, disability
  • 401(k) + match
  • Company equity
  • A challenging, fast-paced, continually changing environment

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