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Finalis
Investment Banking Compliance Analyst
Remote · United States · Full time · Mid level
$80k–$120k / year
About the role
Support investment banking and private markets business by providing compliance guidance throughout transaction lifecycle. Work with bankers on private placements, M&A, and private market transactions from engagement to closing.
What you’ll do
• Review investment banking engagements for compliance. • Analyze private securities offerings and exemptions. • Conduct risk-based due diligence on transaction parties. • Serve as compliance resource for bankers. • Support transactions through closing and regulatory filings.
What you’ll bring
• Bachelor’s degree or equivalent experience. • 3+ years in broker-dealer compliance or related field. • Knowledge of private placements and Regulation D. • Familiarity with FINRA private placement rules. • Work authorization for United States.
Life at Finalis
100% remote work with competitive salary, generous PTO, benefits, and inclusive culture.
About Finalis
Finalis enables independent investment banking firms to operate legally and compliantly with regulatory and compliance infrastructure.