Simplify Logo

Full-Time

Senior Compliance Analyst

Confirmed live in the last 24 hours

MicroVentures

MicroVentures

51-200 employees

Equity crowdfunding platform connecting investors

Fintech
Venture Capital

Senior

Austin, TX, USA

Hybrid position based in Austin, TX.

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
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 fast-paced, changing environment
  • Able to perform both collaboratively and with minimal supervision
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
  • Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned

MicroVentures provides a unique work environment by combining the exciting realm of venture capital financing with the innovative platform of equity crowdfunding. As the pioneer broker/dealer in the U.S. to offer startups the capability to raise capital in exchange for equity directly online, it stands as a leader in its sector. This positions MicroVentures as an excellent workplace for those interested in a leading-edge finance technology sphere, where they can engage directly with emerging businesses and influential angel investors.

Company Stage

N/A

Total Funding

$3.2M

Headquarters

Austin, Texas

Founded

2009

Simplify Jobs

Simplify's Take

What believers are saying

  • Investing through MicroVentures offers exposure to innovative companies like Mighty Buildings and Remedium Bio, which are at the forefront of their respective industries.
  • The platform's successful track record in raising significant funds for startups indicates strong investor confidence and potential for high returns.
  • MicroVentures' diverse portfolio reduces risk by spreading investments across various sectors and stages of company growth.

What critics are saying

  • The high-risk nature of early-stage investments means that there is a significant chance of financial loss for investors.
  • Equity crowdfunding can lead to overvaluation of startups, potentially resulting in lower returns if the companies do not meet growth expectations.

What makes MicroVentures unique

  • MicroVentures leverages equity crowdfunding to democratize investment opportunities, allowing everyday investors to participate in high-growth startups.
  • The platform's focus on diverse sectors, from biotechnology to sustainable construction, provides a broad range of investment opportunities compared to more specialized venture firms.
  • MicroVentures' involvement in early-stage funding rounds, such as seed and Series A, positions it as a critical player in the initial growth phases of startups.