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, reviewing engagements, conducting due diligence, and serving as a compliance resource for investment bankers. Key responsibilities Review proposed investment banking engagements and transaction structures for compliance with securities laws and FINRA requirements Conduct risk-based due diligence on transaction parties and monitor transactions for material changes through closing Serve as a day-to-day compliance resource for investment bankers, 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 Ability to understand complex transaction structures and legal documents