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Compliance Analyst

Location
Manhattan, New York City
Type
Full Time
Timing
Immediate
Sector
Financial Technology (FinTech)
Department
Legal
Min. Experience
Experienced
Equity Grant
Yes

We're looking for a Compliance Analyst to join us in a full-time capacity and help us to redefine the private investment industry. If helping develop first-rate systems at an innovative, fast-growing startup excites you, let's talk!

EquityZen is a leading FinTech startup that sits at the intersection of law, finance, and technology. We help large, private tech companies deliver liquidity to their shareholders, while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served 100+ premier tech companies, and is proud to be considered a liquidity provider by 1 out of 3 of the largest unicorns.

A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 3500+ private placement transactions. Focusing on automating an antiquated offline process has allowed us to build a more efficient, cost-effective, and transparent private market. Watch this short video to learn more: https://equityzen.com/press/

We're looking for a collaborative, thoughtful Compliance Analyst who loves teaching, legal and compliance, and is interested in finance, technology, and also building a business. The Compliance Analyst will assist with regulatory examinations, securities and privacy law matters, review of advertising and marketing materials, KYC, AML, risk assessments, Form ADV and other filings, other compliance matters, testing, updating and maintaining policies, procedures and training and helping develop process automation and improvements.

EquityZen is backed by top venture capital investors, including Draper Associates and 500 Startups. Members of the team have deep experience in finance, law and technology, with prior experience at institutions such as the Shearman & Sterling, AQR Capital Management, Barclays Capital, and J.P. Morgan.

What you'll gain

  • Helping to develop a cutting-edge FinTech marketplace
  • Become an expert in private securities transactions and their related legal and compliance issues
  • Work cross-functionally with legal, deal, product, technology and marketing teams
  • Gain client exposure and the opportunity to communicate with customers
  • Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
  • Learn about the most promising venture-backed companies and VC firms
  • Break into the startup, FinTech, and venture network
  • Opportunity to prove yourself and rise quickly within a growing team and business (we are not big on bureaucracy)
  • Access to corporate discounts (commute, gym, rental car, groceries, etc.)
  • Equity, competitive salary, full benefits (health, dental, vision, 401(k)), flexible paid time off, paid parental leave, and fun with our team!

 

The right stuff

  • 1-4+ years’ experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager; bonus points if you have also worked at OCIE or FINRA
  • Working knowledge of securities laws, private placements, FINRA rules, SEC rules and AML regulations
  • Comfort with adapting existing guidance to new markets and desire to learn about, and research, new and emerging issues
  • Collaborative, team player
  • Outstanding judgment, uncompromising integrity and discretion
  • Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
  • Outstanding organizational skills
  • Demonstrates flexibility and the ability to prioritize, identify and react to critical issues, and understands time-sensitive deal environment
  • Strong issue spotting skills and proactive orientation; identifies potential problems and proposed solutions, takes ownership and can drive processes to conclusion; not just a “check-the-box” mentality
  • Experience designing and improving legal and compliance processes
  • Works hard and smart with attention to detail
  • Proficient in Microsoft Powerpoint, Excel & Word

 

Bonus points if you have

  • Experience in private placements, secondary markets or FinTech marketplaces, including Rule 506(b) and 506(c) offerings
  • 1+ years working in compliance function at a fintech startup
  • Familiarity with Elasticsearch & Kibana
  • Undergraduate degree from top university
  • Series 7 and/or 24 licenses
  • CAMS certification

Employment eligibility to work in the U.S. is required as EquityZen will not pursue via sponsorship for this position. 

 

EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge.

 

HOW TO APPLY

  1. Please complete the form below (name, email, resume, & short answer questions)
  2. Please include a cover letter

Head of People

Location
Manhattan, New York City
Type
Full Time
Timing
Immediate
Sector
Financial Technology (FinTech)
Department
Corporate
Min. Experience
Experienced
Equity Grant
Yes

We're looking for a Director/VP level leader to join EquityZen’s growing team as we redefine private markets. Our team is a group of ambitious, yet humble people across all disciplines and backgrounds. Have a look at our team and values and join us if you’re interested in owning all things people and culture at EquityZen.

EquityZen is an early-mid stage financial technology firm based in the Flatiron district of Manhattan. Our mission is to bring private markets to the public. Wealth creation has historically only been accessibly by those already wealthy. We have already opened up access to 10,000 times as many folks as before, and are working to put it within reach of a third of the world.

Having facilitated 5,000+ private placements in 100+ mature, pre-IPO companies (with company approval), our platform services employees, HNWIs, and hedge funds from ~50 countries. EquityZen's investors include pedigreed VCs like Tim Draper and Wall Street institutions like WorldQuant. Watch a short video to learn more.


WHAT YOU'LL GAIN

  • Sit on the leadership team and partner with the founders to lead current and future EquityZenners
  • Own and improve all things people and culture at EquityZen
    • Culture pulse, reinforcement, evolution
    • Talent recruiting, retention, career development
    • HR payroll, compensation, benefits
    • Oversee people, office, and EA operations
  • Gain exposure to all parts of the venture capital, private equity, and startup ecosystems
  • Option to learn more than you thought possible (and more than you thought you wanted to know) about the inner-workings of private placements - a rapidly growing, rewarding, and lucrative business
  • Make a big impact in increasing team happiness and effectiveness
  • Receive (and define!) benefits and perks:
    • 100% premium paid health insurance (medical, dental, vision)
    • Paid parental leave
    • Flexible PTO
    • Corporate discounts (commute, gym, etc.)
    • Other cool perks you introduce
  • Have fun, learn, and grow with our incredible team

 

THE RIGHT STUFF

  • 4-year undergraduate degree and 5+ years in workforce
  • 3+ years as individual contributor or manager in HR/Operations/People/Culture role
  • 1+ years as manager in HR/Operations role
  • Relatable and frequent communicator (including comfortable having uncomfortable discussions)
  • Purposeful and effective communicator in implementing systems for training and conducting performance feedback
  • Proficient in establishing practical processes, anticipating challenges, and effective problem solving
  • Experience with selecting, on-boarding, and managing HRIS systems and vendors
  • Experience in handling HR functions (payroll, compliance, benefits, …)
  • Demonstrable organization skills and attention to detail
  • Ability to proactively keep pulse on the team, promote existing culture, and help us grow
  • Ability to inspire, engage, and empathize with people from a wide range of backgrounds
  • Ability to foster productive and enjoyable office environment (operations, events, budgeting)
  • Strong desire and ability to nurture and maintain diversity on team by focusing on retention and implementing innovative recruiting methods
  • Thinks like an owner and believes there is no job too small to accomplish the team’s goals

 

*BONUS POINTS IF YOU HAVE

  • Experience as founder or early employee at a small firm for 1+ years
  • Familiarity with hiring for and managing office and EA operations
  • Instituted frameworks for performance reviews, skills-training, and fostering cross-team

 

EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
 
EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge.

Deal Analyst

Location
Manhattan, New York City
Type
Full Time
Timing
Immediate
Sector
Financial Technology (FinTech)
Department
Marketplace
Min. Experience
Experienced
Equity Grant
Yes
*****************************HOW TO APPLY*****************************
1) Complete the below form (name, email, resume)
2) AND then complete this google form:
https://goo.gl/forms/Fe8ScCqziEF12Yhf1
3) Please include a cover letter

We're looking for a Deal Analyst to join us in a full-time capacity and help us to redefine the private investment industry. If deal-making in cutting edge transactions in big-name startups excites you, let's talk!

EquityZen is a leading FinTech startup that sits at the intersection of finance, law, and technology. We help large, private tech companies deliver liquidity to their shareholders, while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served 100+ premier tech companies, and is proud to be considered a liquidity provider by 1 out of 3 of the largest unicorns.

A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 1000's of private placement transactions. Focusing on automating an antiquated offline process has allowed us to lead the charge in building a more efficient, cost-effective, and transparent private market. We expect our Deal Analysts to continue to hone and refine this process alongside us as a true business owner who will actively contribute to defining EquityZen’s competitive edge.

We're looking for an ambitious and hardworking Deal Analyst, who loves closing deals, monitoring the markets, is interested in technology, finance, and also building a business. The Deal Analyst will assist in closing deals, investor relations, operations, and managing investment exits on EquityZen's cutting edge marketplace for investments in private technology companies. EquityZen is backed by leading venture capital investors, including Draper Associates and 500 Startups.

Members of the team have deep experience in finance, law and technology, with prior experience at institutions such as the AQR Capital Management, Barclays Capital, and J.P. Morgan.

What you'll gain:
  • Become an expert in deal making, private placements, and marketplaces
  • Contribute to deal operations, analytics, and transaction optimization
  • Client service working directly with Institutional and individual investors
  • Knowledge of private equity investment exits and processes related to M&A's, IPO's, etc.
  • Interface with prime brokers and wealth managers, learning from top-industry professionals
  • Work cross-functionally with marketplace, investor, product, and legal teams
  • Learn about the most promising venture-backed companies and VC firms
  • Break into the startup, FinTech, and venture network
  • Opportunity to prove yourself and rise quickly within a growing team and business (we are not big on bureaucracy)
  • Become an equity stakeholder from Day 1
  • Access to corporate discounts (commute, gym, rental car, groceries, etc.)

The right stuff:
  • 1-3 years work experience, ideally including one or more of the following:
    • Analyst experience in private equity or venture capital
    • Analyst experience at investment bank, brokerage, or asset management firm
    • Analyst or Consultant experience at a top tier Management Consulting Firm
    • Experience as a paralegal or legal assistant in a transactional group at a top tier law firm
    • Experience at internet-based investment firm, crowdfunding, or P2P lending
    • Business Development experience at a technology company
  • Passion for tech (via side projects or current work)
  • Love for deal making and deal environment
  • Understands time-sensitive deal environment with a proven track record of performing well under pressure to manage competing deadlines
  • Works hard and smart with attention to detail
  • Exceptional communicator, both internally and with clients
  • Driven by the desire to relentlessly improve, innovate, challenge the status quo and constantly ask “why?”

*Bonus points if you have:
  • Entrepreneurial or venture capital experience
  • Experience in private placements, capital markets, or FinTech marketplaces
  • Undergraduate degree from top university
Sector: Financial Technology (FinTech)
Salary: Competitive
Equity Grant: Yes
Minimum Experience: 1+ years (recent graduates with competitive and extensive internship experience in the finance or technology sectors may also be considered)
EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZens employees to perform their job duties may result in discipline up to and including discharge.

*****************************HOW TO APPLY*****************************
1) Complete the below form (name, email, resume)
2) AND then complete this google form:
https://goo.gl/forms/Fe8ScCqziEF12Yhf1
3) Please include a cover letter

Investment Specialist (Investor Sales)

Location
Manhattan, New York City
Type
Full Time
Timing
Immediate
Sector
Financial Technology (FinTech)
Department
Investments
Min. Experience
Experienced
Equity Grant
Yes

EquityZen is looking for a full-time investor sales and client relations professional in New York City. The compensation for this role is extremely competitive and would include salary, full benefits, commission, and an equity grant (not to mention other cool stuff: we just thought we'd get the big stuff out of the way).

In addition to the form below, please reply to these questions as well.

What you'll get:

  • Exposure to multiple parts of the business: sales, marketing, product
  • Experience speaking with angel investors, VCs, PE firm, family offices, etc.
  • A full pipeline of inbound leads
  • Room to grow
  • A company you can call Home

What we have:

  • A growing business in a growing asset class: pre-IPO secondary transactions.
  • Financial backing from Draper Associates, 500 Startups, and WorldQuant Ventures.
  • Relationships with 100+ pre-IPO companies, dozens of which you've probably used or have on your phones. 
  • Thousands of warm investor leads who are interested in pre-IPO investing.
  • A diverse team of engineers, lawyers, and reformed Wall Streeters.
  • An opportunity for a young salesperson to make a BIG impact.

What you must have:

  • Series 7 and Series 63 licenses from FINRA
  • 1+ years of experience selling financial products
  • 4-year undergraduate degree
  • Experience with making 25+ phone calls a day
  • Demonstrable ability to communicate clearly, via email and phone.
  • An interest in the venture capital asset class

*Bonus points* if you have:

  • A 2-year track record of exceeding sales quotas within a financial services firm
  • Experience selling private tech investments (crowdfunding, pre-IPO, private equity stakes)
  • Experience selling investments to the HNWI investor channel
  • Experience using Salesforce or a similar CRM

You should apply if:

  • You like to compete, and get excited about closing a sale
  • You're currently in a sales role within a larger financial organization, but seek an opportunity with more professional development and upside
  • You're ready to shorten the feedback loop between sales + product (aka you're fed up with 5-year old office software)

General Application

Location
Manhattan, New York City
Type
Full Time
Timing
Rolling
Sector
Financial Technology (FinTech)
Department
Any
Min. Experience
Experienced
Equity Grant
Negotiable

We are always open to reviewing applications from individuals who feel they have the right stuff for the EquityZen team! If you have a qualification that will help the EquityZen team, send us your resume!

EquityZen is leveling the field in how startup employees get paid. With our premier marketplace, we unlock the value of their equity compensation in a way that benefits all key players: the shareholder, the company, and the investor. Watch the short video here to learn more.

Some of EquityZen's investors include Tim Draper's Draper Associates and 500Startups, sovereign wealth funds, family offices, wealth managers, and influential investors from Finance, Venture, Law around the world. Some of the smartest minds in the industry have helped us conduct transactions worth tens of millions of dollars.

Our team is our biggest asset, and we are always looking for new talent to join us.

What you'll gain

  • Make a big impact in increasing team happiness beginning your very first week
  • Learn more about the Secondary Markets
  • Gain an understanding of venture capital and startup ecosystems
  • Access to corporate discounts (commute, gym, rental car, groceries, etc.)
  • 100% Premium paid full benefits (health, dental, vision), paid parental leave, and flexible paid time off
  • Fun with our amazing team

The right stuff

  • Ability to wear multiple hats
  • Flexibility in role and responsibilities
  • Can do attitude
  • Interest in FinTech
  • Desire to work in a true start-up environment

*Bonus points if you have

  • Previous experience in a start-up
  • Degree in Business (finance) or Engineering

Why join EquityZen?

Our promise to you: you will learn more, faster than you can imagine.

  • Learn from our investors (early Twilio, MakerBot, ...)
  • Access corporate discounts (commute, gym, rentals, ...)
  • Get paid. Competitive equity and salary, full benefits (health, dental, vision), flexible paid time off
  • Do good. Achieve a double bottom-line, bring education and access to millions

Our team is growing

Reach out if your are:

  • Creative and tenacious
  • Passionate about the capital markets
  • Not afraid to redefine an industry
  • Excited to take on many roles and excel
  • Ready to have fun with our team!


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Our promise to you:
You will learn more, faster than you can imagine.

EquityZen is a marketplace for pre-IPO investments. EquityZen has been featured, quoted, and covered in a number of publications.

EquityZen provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, EquityZen complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. EquityZen expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of EquityZen’s employees to perform their job duties may result in discipline up to and including discharge.

EquityZen participates in the U.S. government's "E-Verify" program.

Have questions?