Investment Banking Compliance Analyst

Transaction & Regulatory Review:

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and Finalis policies.
• Review private securities offerings and applicable Securities Act exemptions, with particular emphasis on Regulation D and Rules 506(b) and 506(c).
• Analyze M&A, secondary, and other private market transactions for applicable securities-law and broker-dealer considerations.

Due Diligence & Transaction Execution:

• Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant transaction parties and evaluate identified red flags.
• Review offering materials, organizational documents, financial information, transaction agreements, and other relevant diligence materials.
• Monitor transactions for material changes and review transaction and closing documentation for consistency with the approved structure.

Banker & Business Partnership:

• Serve as a day-to-day compliance resource for investment bankers and registered representatives.
• Participate in transaction calls and work directly with bankers to understand proposed structures and resolve regulatory and compliance questions.
• Translate regulatory requirements into clear, practical guidance while maintaining sound compliance judgment.