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Finalis is a compliance infrastructure platform serving independent and boutique investment banking firms. As an Investment Banking Compliance Analyst, you will be the day-to-day compliance resource for investment bankers and registered representatives, providing regulatory guidance throughout the transaction lifecycle for private market deals including M&A, capital raising, private placements, secondary transactions, and alternative investments.
Your core responsibilities span three areas: (1) Transaction & Regulatory Review—analyzing proposed engagements, compensation structures, and private securities offerings for compliance with securities laws, FINRA requirements, and company policies, with emphasis on Regulation D and the M&A broker exemption framework; (2) Due Diligence & Transaction Execution—conducting risk-based diligence on issuers and transaction parties, reviewing offering materials and agreements, resolving compliance questions, and supporting transactions through closing and regulatory filings; and (3) Banker & Business Partnership—serving as a trusted compliance advisor, participating in transaction calls, translating regulatory requirements into practical guidance, and staying current on regulatory developments.
You will work directly with investment bankers and registered representatives, analyzing complex transaction structures and legal documents. The role requires intellectual curiosity, strong analytical skills, and the ability to ask thoughtful questions to understand economic substance rather than relying on form. You'll manage multiple active transactions and competing deadlines in a fast-paced environment.
Required qualifications include a bachelor's degree, 3+ years of relevant experience in broker-dealer compliance, investment banking, securities law, or private markets, working knowledge of private placements and Regulation D exemptions, familiarity with FINRA requirements, and strong communication skills. Bonus qualifications include FINRA registrations (Series 7, 24, 79, 82), experience reviewing Regulation D offerings and FINRA Rules 5122/5123, M&A transaction experience, and background at investment banks, broker-dealers, securities law firms, or regulatory organizations.
