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Compliance Analyst

1 month ago

New York NY United States EquityZen Full time

EquityZen is a financial technology company, backed by leading venture and private equity investors. We’re looking for a knowledgeable and hardworking Compliance Analyst who has a strong interest in the pre-IPO space and private markets.

Since 2013, the EquityZen marketplace has made it easy to buy and sell shares in private companies. EquityZen brings together investors and shareholders, providing liquidity to early shareholders and private market access to accredited investors. With low investment minimums through our funds and with more than 35,000 private placements completed across 400+ companies, EquityZen leads the way in delivering “Private Markets for the Public”.

WHAT YOU’LL DO

  • Help to develop a cutting-edge FinTech marketplace
  • Work cross-functionally with legal, deal, product, technology and marketing teams
  • Gain client exposure and the opportunity to communicate with customers
  • Assist with regulatory examinations, securities law matters, reviewing advertising and marketing materials
  • Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones
  • Engage in risk-based monitoring, communications review and help the firm meet other compliance requirements
  • Prepare Form ADV, 4530 Complaint filings, and other regulatory filings
  • Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
  • Provide training and advocate for compliance throughout the organization
  • Learn about the most promising venture-backed companies and VC firms

THE RIGHT STUFF

  • 3+ years’ experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager; bonus points if you have also worked at the SEC’s Division of Examinations (formerly OCIE) or at FINRA or the OSC
  • Series 7 and Series 24 licenses
  • Experience reviewing marketing materials and advertising, including performance advertising
  • Working knowledge of securities laws, private placements, FINRA rules, SEC rules and AML regulations
  • Comfort with adapting existing guidance to new markets and desire to learn about, and research, new and emerging issues
  • Collaborative, team player, with outstanding initiative, organization skills and attention to detail
  • Outstanding judgment, uncompromising integrity and discretion
  • Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
  • Strong issue spotting skills and proactive orientation; identifies potential problems and proposed solutions, takes ownership and can drive processes to conclusion

BONUS POINTS

  • Experience in private placements, secondary markets or FinTech marketplaces
  • Experience working with an Exempt Market Dealer, including having taken, or interest in taking, the Exempt Market Products Exam or the Canadian Securities Course Exam, or other Canadian exams
  • 1+ years working in compliance function at a fintech startup
  • CAMS certification

COMPENSATION

$90,000

EquityZen also offers full employee benefits (health, dental, vision), individual professional development and wellness budget, generous time off policies and more

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