Compliance Analyst

| Greater NYC Area
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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

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
    • GolangLanguages
    • JavascriptLanguages
    • PythonLanguages
    • ReactLibraries
    • ReduxLibraries
    • DjangoFrameworks
    • TensorFlowFrameworks
    • Google AnalyticsAnalytics
    • MixpanelAnalytics
    • SketchDesign
    • FigmaDesign
    • AsanaManagement
    • IntercomCRM
    • SalesforceCRM

Location

We have a beautiful space just doors from the New York Stock Exchange! Right in the heart of where good things happen for EquityZen.

An Insider's view of EquityZen

What's the biggest problem your team is solving?

Our team is tackling the challenge of creating greater accessibility to Pre-IPO marketplaces. By developing technologies that streamline the process of private investing, we generate value for shareholders and investors. Additionally, by creating intuitive experiences we attract market participants with varying financial management expertise.

Shanie

Senior Front End Engineer

What are EquityZen Perks + Benefits

EquityZen Benefits Overview

Our benefits emphasize our 'Be Human' value, placing our employees first by providing excellent health care, generous leave policies, and a 401k match program.

Culture
OKR operational model
Team based strategic planning
Open office floor plan
Quarterly engagement surveys
In-person all-hands meetings
Monthly town hall meetings with company leadership.
Diversity
Mandated unconscious bias training
Hiring practices that promote diversity
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Pet insurance
Wellness programs
Mental health benefits
Financial & Retirement
401(K)
401(K) matching
Starting in 2022, we are excited to be offering a match of up to 4% of an employee's base salary - 100% of the first 3% of contributions and 50% of the next 2%.
Company equity
Performance bonus
Charitable contribution matching
Our Founders generously matched donations in 2020 to support our belief in the fight against racial and social injustice.
Child Care & Parental Leave Benefits
Generous parental leave
Family medical leave
Vacation & Time Off Benefits
Unlimited vacation policy
Paid holidays
Paid sick days
Office Perks
Commuter benefits
Free snacks and drinks
EquityZen offers a fully stocked kitchen including coffee, tea, and snacks. We're always open to suggestions to keep things fresh.
Some meals provided
EquityZen brings in a catered lunch every Friday. Cinco de Mayo? Bring on the tacos!
Company-sponsored happy hours
Professional Development Benefits
Job training & conferences
Promote from within
Online course subscriptions available
Paid industry certifications
EquityZen ensures that everyone has the licenses and certifications they need to do their job.

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