Full-Time

Compliance Analyst

Confirmed live in the last 24 hours

MicroVentures

MicroVentures

51-200 employees

Equity crowdfunding platform connecting investors


Mid

Remote in USA

Required Skills
Communications
Requirements
  • A strong educational background including an undergraduate degree and a minimum of 2 years of relevant experience
  • FINRA Series 7 and 63 licenses
  • Ability to obtain the Series 24 license within 90 days of hire date
  • Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels
  • Service-oriented with the ability to seek logical, equitable, and compliant solutions
  • Ability to prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in a fast-paced, changing environment
  • Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive, and proactive manner
  • Knowledge of the private placement and crowdfunding business, including products, compliance, and administration
  • Working knowledge of federal securities regulations
  • Ability to collect and evaluate financial, transactional, or other data to determine trends
  • Detail-oriented and focused on producing an accurate high-quality work product
  • Able to perform with minimal supervision
Responsibilities
  • Investment surveillance
  • Surveillance of electronic communications
  • Investigate potential issues discovered during electronic communications surveillance; collaborate with compliance team to resolve or escalate issues
  • Document review
  • Assist the compliance team with maintaining policies and procedures
  • Monitor, test, and provide written results for compliance policies and procedures
  • Work independently or with others to complete compliance-related projects, reviews, and tasks

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

Growth & Insights
Headcount

6 month growth

5%

1 year growth

15%

2 year growth

3%