MicroVentures, a leading equity crowdfunding platform, is seeking a Compliance Analyst. The compliance team is responsible for investment, communications, and document review to ensure the Firm meets its obligations relative to applicable federal and state securities regulations.

The 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

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 that are adequately designed to prevent, detect, and correct any compliance deficiencies
Monitor, test, and provide written results for same as they relate to the Firm’s compliance policies and procedures
Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned

Required Qualifications

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 fast-paced, changing environment
Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive, and proactive manner
Excellent organizational, written, verbal skills
Knowledge of the private placement and crowdfunding business, including products, compliance, and administration
Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation CF, and Regulation D
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

Perks

Compensation commensurate with experience
Annual discretionary bonus
Healthcare, dental, vision, disability
401(k) + match
Company equity
A challenging, fast-paced, continually changing environment