Compliance Analyst
Compliance Analyst
EquityZen is an early-mid stage financial technology company, backed by leading venture and private equity investors. We’re looking for a Compliance Analyst to join EquityZen’s growing team as we redefine private markets.
Our platform enables large, private companies to deliver liquidity to their shareholders while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served over 200 pre-IPO technology companies and is proud to be considered a liquidity provider for 1 out of 3 of the largest unicorns. Watch this short video to learn more: equityzen.com/press.
THE RIGHT STUFF
- 1-2+ years’ experience in a compliance role at a broker-dealer, a dual-registered investment advisor/broker-dealer, or an investment bank, or asset manager; bonus points if you have also worked at OCIE or FINRA
- 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
- Outstanding judgment, uncompromising integrity and discretion
- Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
- Outstanding organizational skills
- Demonstrates flexibility and the ability to prioritize, identify and react to critical issues, and understands time-sensitive deal environment
- Strong issue spotting skills and proactive orientation; identifies potential problems and proposed solutions, takes ownership and can drive processes to conclusion; not just a “check-the-box” mentality
- Experience designing and improving legal and compliance processes
- Works hard and smart with attention to detail
- Proficient in Microsoft Powerpoint, Excel & Word
WHAT YOU'LL DO
- Help implement multiple facets of EquityZen’s compliance program, including supervision and communications monitoring, onboarding/offboarding, outside business activities, private securities transactions, political contributions and personal trading.
- Help develop, implement and improve policies and procedures in response to changing regulations.
- Conduct risk-based monitoring and monitor potential higher risk customers and transactions as part of EquityZen’s CIP/KYC program.
- Understand time-sensitive deal environment & love deal environment
- Be proactive in following through on next steps
Bonus Points
- Experience in private placements, secondary markets or FinTech marketplaces, including Rule 506(b) and 506(c) offerings
- 1+ years working in compliance function at a fintech startup
- Familiarity with ComplySci, Global Relay and/or Kibana
- Bachelor’s Degree
- Series 7 and/or 14 licenses
- CAMS certification
EquityZen offers a competitive salary, stock options, fully paid employee benefits (health, dental, vision) with high-level coverage for dependents, generous parental leave policy, individual professional development and wellness budget, flexible paid time off, and more!
EquityZen is dedicated to prioritizing all employees’ health and safety during the COVID-19 pandemic. We have a new, socially-distant friendly office space where we have established strict protocols to protect the health and safety of all employees; however, working from the office is strictly voluntary until further notice unless otherwise indicated in the job posting.
EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge