Investment Banking Compliance Analyst

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for an Investment Banking Compliance Analyst based in the United States.

This role offers the opportunity to support sophisticated investment banking and private markets transactions from initial engagement through closing.

You’ll serve as a trusted compliance partner to investment bankers and registered representatives, helping navigate complex regulatory and transaction structures.

The position combines securities-law analysis, risk-based due diligence, transaction review, and practical business guidance.

You’ll work across private placements, M&A, secondary transactions, and other private market activities in a fast-paced environment.

Your judgment will help ensure transactions are structured, documented, and executed in accordance with applicable regulations and internal policies.

The role is ideal for an intellectually curious professional who enjoys unpacking unfamiliar transactions and turning regulatory requirements into clear, actionable guidance.

You’ll have meaningful exposure to complex financial transactions while developing deep expertise in broker-dealer and investment banking compliance.

Accountabilities:

• Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and internal policies.
• Analyze private securities offerings and applicable Securities Act exemptions, with particular emphasis on Regulation D and Rules 506(b) and 506(c).
• Review M&A, secondary, and other private market transactions for relevant securities-law and broker-dealer considerations.
• Evaluate M&A transactions under the federal M&A broker exemption framework and identify situations requiring registered broker-dealer involvement.
• Support compliance with FINRA private placement requirements, including Rules 5122 and 5123.
• Conduct risk-based due diligence on issuers, sponsors, control persons, and other relevant transaction parties, identifying and assessing potential red flags.
• Review offering materials, organizational documents, financial information, transaction agreements, and other diligence materials.
• Partner with bankers to resolve compliance and diligence questions while clearly documenting conclusions, conditions, and approvals.
• Monitor transactions for material changes and review transaction and closing documentation for consistency with approved structures.
• Support transactions through closing, including compliance conditions, books and records, and applicable regulatory filings.
• Act as a day-to-day compliance resource for investment bankers and registered representatives.
• Participate in transaction discussions and work directly with stakeholders to understand proposed structures and resolve regulatory questions.
• Apply thoughtful analysis to understand the economic substance of transactions rather than relying solely on labels or formal descriptions.
• Translate regulatory requirements into practical, easy-to-understand guidance while maintaining strong compliance judgment.
• Monitor regulatory developments affecting private placements, M&A, broker-dealer activities, and private market transactions.

Requirements:

• Bachelor’s degree or equivalent professional experience.
• 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, private markets, or a related field.
• Working knowledge of private placements and exemptions from Securities Act registration, particularly Regulation D and Rules 506(b) and 506(c).
• Familiarity with FINRA requirements relevant to private placements and investment banking activities.
• Ability to interpret complex transaction structures and review legal, financial, offering, and transaction documents.
• Strong analytical skills, sound professional judgment, and genuine intellectual curiosity.
• Excellent written and verbal communication skills, with the ability to work effectively with investment bankers and sophisticated financial stakeholders.
• Strong organizational skills and the ability to manage multiple active transactions, priorities, and competing deadlines in a fast-paced environment.
• Experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123 is a strong advantage.
• Experience with M&A transactions and the federal M&A broker exemption framework is a plus.
• Experience reviewing engagement letters, offering documents, purchase agreements, subscription documents, and closing materials is advantageous.
• Experience conducting issuer or transaction-level due diligence and evaluating compliance or regulatory red flags is preferred.
• Familiarity with private funds, SPVs, secondary transactions, or other complex private market structures is a plus.
• Relevant FINRA registrations such as Series 7, 24, 79, and/or 82 are valued.
• Experience within an investment bank, broker-dealer, securities law firm, FINRA, SEC, or financial-services regulatory organization is beneficial.

Benefits:

• 100% remote work within the United States.
• Generous paid time off.
• Comprehensive benefits package.
• Paid family leave.
• Diverse and inclusive workplace culture.
• Opportunity to work directly on sophisticated investment banking and private market transactions.
• Exposure to complex securities, regulatory, and compliance matters across multiple transaction types.
• Opportunity to develop deeper expertise in broker-dealer and investment banking compliance.