Palo Alto, CA, USA
Posted on Wednesday, May 3, 2023
Equitybee seeks a Compliance Analyst to implement a broker/dealer compliance program, manage KYC reviews, and draft policies for BD, RIA, and firmwide requirements.
The Compliance Analyst will collaborate with Sales, Operations, Legal, Product/Technology, and Marketing teams to ensure regulatory compliance and support the company's growth.
Reporting to the Chief Compliance Officer, this is an excellent opportunity for someone with experience in compliance to play a key role in a dynamic startup environment.
About the role…
- Manage product due diligence and transaction approval processes, including KYC, suitability reviews, accredited investor verification, and startup company research
- Review advertising and marketing for compliance with applicable rules, including principal approval and regulatory submissions
- Test and modify policies and procedures designed to achieve compliance with applicable securities laws and regulations and FINRA rules
- Draft and implement additional policies
- Assist the CCO to develop and deliver compliance training
- Implement and manage registered representative oversight, including registrations, electronic correspondence surveillance, and conflict of interest tracking
- Assist with internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer's business activities
- Advise product and engineering teams on regulatory requirements related to new products and existing product enhancements
- Implement compliance systems
- Assist with regulatory filings
- 3+ years of broker/dealer and/or investment adviser compliance or operations experience
- FINRA Series 7 required
- FINRA Series 24 advantage - will be required to pass within the first 3 months of hire
- Experience with Regulation D private funds a plus
- Strong understanding of investment and equity mechanics and aptitude to build deep product and industry knowledge
- Exceptional time management and prioritization skills for managing multiple time-sensitive tasks
- Comfort and a demonstrated ability to achieve strategic goals in a fast-paced, constantly changing environment
- Ability to learn quickly and execute effectively
- Unlimited PTO
- Hybrid work model - 2 days in our Palo Alto HQ, and 3 days from home
- Pet friendly office - bring what you have, we'll hug it and give it treats
See more open positions at EquityBee
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