Senior Compliance Analyst
MicroVentures is a full-service investment bank and equity crowdfunding platform that lets everyday investors put as little as $100 into highly vetted private companies. It serves both retail and accredited investors, offering equity crowdfunding, accredited/primary and secondary investments, and secondary trading in late-stage private stock.
About MicroVentures
MicroVentures positions itself as venture capital investing for everyone, allowing individuals to invest in private companies for as little as $100 after a vetting and due diligence process performed by its experienced team. The company has facilitated over $700 million in transactions across 1200+ investment opportunities for a base of 280,000+ investors, with past offerings including well-known companies like OpenAI, Stripe, and Neuralink. As a full-service investment bank, MicroVentures offers a broad range of private market investment products: equity crowdfunding open to all investors, accredited investing for early and late stage primary and secondary deals, and secondary trading services for buyers and sellers of late-stage private stock. Its clients range from novice retail investors seeking low minimum investments to accredited investors seeking access to private secondary markets, supported by an Investor Relations team available by phone for education and guidance.
Skills
About the Role
You will play an integral role within the compliance team, working across multiple offices and departments to meet compliance and business objectives. You'll review and approve content developed as part of the due diligence process for private placement securities offerings, ensuring adherence to applicable compliance regulations for both issuers and the broker dealer. You will conduct investment and electronic communication surveillance, collaborating with the compliance team to investigate and resolve or escalate issues. You will analyze documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation. You will help develop, test, and maintain policies and procedures designed to prevent, detect, and correct compliance deficiencies, and you will work independently or with others to complete compliance-related projects, reviews, and other assigned tasks.
Requirements
- 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 raise process, products, due diligence, compliance, and administration
- Service-oriented with the ability to seek logical, equitable, 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 within a small startup organization and with employees at all levels
- Ability to prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in a fast-paced, changing environment
- Able to perform both collaboratively and with minimal supervision
Responsibilities
- Analyze review and approve content including due diligence materials for private placement securities offerings to ensure adherence to compliance regulations for issuers and the broker dealer
- Conduct investment and electronic communication surveillance
- Collaborate with the compliance team to investigate and resolve or escalate issues
- Analyze and review 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 to prevent detect and correct compliance deficiencies
- Work independently and with others to complete compliance-related projects reviews and other tasks as assigned
Benefits
- Annual discretionary bonus
- Healthcare, dental, vision, disability
- 401(k) + match
- Company equity
- Fully stocked break room