Investment Banking Compliance Analyst

Supporting the investment banking and private markets business, the full-time remote Investment Banking Compliance Analyst will provide compliance guidance throughout the transaction lifecycle, working closely with investment bankers on private placements, M&A engagements, and other private market transactions. Key responsibilities Review investment banking engagements, compensation arrangements, and transaction structures for compliance with securities laws and regulations Conduct risk-based due diligence on transaction parties and evaluate identified red flags Serve as a compliance resource for bankers, participating in transaction calls and 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 Strong analytical skills and the ability to manage multiple transactions in a fast-paced environment