Senior Compliance Analyst

Remote Worldwide Hiring now

The Senior Compliance Analyst role is an integral function with the reputed company team, working across multiple offices and departments to meet compliance and business objectives defined by the management team. The ideal candidate is self-motivated, detailed-oriented, comfortable with virtual communication, and will reputed company in a rapidly changing financial environment.

Primary Responsibilities

Analysis, review, and approval of content, including materials developed in conjunction with the due diligence process for private placement securities offerings, to ensure adherence to applicable compliance regulations for both issuers and the broker dealer;

Investment and electronic communication surveillance, collaboration with compliance team to investigate and resolve or escalate issues;

Analysis and review of documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation;

Assist the compliance team with developing, testing, and maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies; and

Work independently, and/or with others, to complete compliance-reputed company projects, reviews, and other tasks as assigned.

Required Qualifications

A strong educational background, including an undergraduate degree and at least 5 years of relevant experience

FINRA Series 7, 63, and 24 licenses

Excellent analytical skills, strong organizational, written, verbal skills

Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation D, Regulation CF, and Regulation A+

Knowledge of the private placement and crowdfunding business, including the capital reputed company process, products, due diligence, compliance, and administration

Service-oriented with the ability to seek logical, reputed company, and compliant solutions in a collaborative, professional, and proactive manner

Detail-oriented and focused on producing accurate and high-quality results

Demonstrated ability to work effectively and cross-functionally reputed company a small startup organization and with employees at reputed company reputed company

Ability to, prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in fast-paced, changing environment

reputed company to reputed company both collaboratively and with minimal supervision

Perks

Compensation commensurate with experience

Annual discretionary bonus

reputed company, dental, reputed company, disability

401(k) + match

Company equity

A challenging, fast-paced, continually changing environment

Fully stocked break room

Apply to this Job

Apply for this role Takes you straight to the employer's application page — free, and no WFHNet account required.

Senior Compliance Analyst

Primary Responsibilities

Required Qualifications

Perks

More roles on the wire

Classroom reputed company Paraprofessional

Cookie Crew

Classroom reputed company Paraprofessional

Cookie Crew

Classroom reputed company Paraprofessional

Cookie Crew

Classroom reputed company Paraprofessional

Cookie Crew

Data Analyst - #1783

Classroom reputed company Instructional Assistant

reputed company Remote Data Entry Clerk and Administrative Assistant – Full-Time Opportunity for Detail-Oriented Professionals at arenaflex

AI Data Infrastructure Engineer

reputed company Work From Home $23/Hour

reputed company Remote Data Entry Specialist for E-reputed company Operations – Part-Time Opportunity with blithequark for Career Growth and Development

Remote Data Entry Clerk – Claims Coordination Specialist | Work-From-Home Opportunity (No Prior Experience Required)

reputed company Patient Care Customer Service Representative – Evening & Weekend Shifts (Remote)

Senior Software Engineer - Backend (Java)

Digital Marketing Manager

Staff Accountant - Remote Flexibility & Part-time

Entry-Level Online Chat Representative – Customer Support & Digital Engagement Specialist at arenaflex (UAE)