Senior Compliance Analyst

Job Description

Job Description

The Senior Compliance Analyst role is an integral function with the MicroVentures 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 excel 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-related projects, reviews, and other tasks as assigned.

Required Qualifications

Perks

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.