Compliance Associate

Location
Manhattan, New York City
Type
Full Time
Timing
Immediate
Sector
Financial Technology (FinTech)
Department
Legal
Min. Experience
Experienced
Equity Grant
Yes
EquityZen is an early-mid stage financial technology company, backed by leading private equity investors. We're looking for a collaborative, thoughtful Compliance Associate to join us in a full-time capacity and help us to redefine the private investment industry. Our ideal candidate loves teaching, all aspects of legal and compliance, and is interested in the intersection of finance and technology. If helping develop first-rate systems at an innovative, fast-growing startup excites you, let's talk!  
 
Our platform enables large, private companies to deliver liquidity to their shareholders while providing investors access to invest in these proven, pre-IPO companies. EquityZen has served 125+ premier tech and digital health companies and is proud to be considered a liquidity provider for 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 6500+ private placement transactions. Focusing on automating an antiquated offline process has allowed us to lead the charge in building more efficient, cost-effective, and transparent private markets. Watch this short video to learn more: equityzen.com/press.
 
WHAT YOU'LL DO
  • Assist with regulatory examinations and securities law matters
  • Update, test, maintain and develop policies and procedures to meet changing regulatory milestones
  • Review advertising and marketing materials prior to circulation
  • Prepare Form ADV and other filings as needed
  • Provide training as required to employees 
  • Advocate for compliance throughout the organization
 
THE RIGHT STUFF
  • Undergraduate degree from a recognized university
  • 1-4+ years’ experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager
  • Working knowledge of securities laws, private placements, FINRA rules, SEC rules, and AML regulations
  • Comfort with adapting existing guidance to new markets and the desire to learn about, and research, new and emerging issues
  • Collaborative team player, with outstanding organization skills and attention to detail
  • Outstanding judgment, uncompromising integrity and discretion
  • Strong verbal and written communication skills, enthusiasm and a desire to teach about legal obligations and compliance topics
  • 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
  • Proficient in Microsoft PowerPoint, Excel & Word
 
BONUS POINTS
  • Experience in private placements, secondary markets or FinTech marketplaces, including Rule 506(b) and 506(c) offerings
  • Experience working at OCIE or FINRA
  • 1+ years working in compliance function at a fintech startup
  • Series 7 and/or 24 licenses
  • CAMS certification
 
WHAT YOU'LL GAIN
  • Experience working cross-functionally with legal, deal, product, technology, and marketing teams
  • Client exposure and the opportunity to communicate with customers
  • Project management experience, ability to assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
  • Equity, competitive salary, full employee benefits (health, dental, vision), flexible paid time off, stocked fridge, supply of snacks, weekly catered lunch and more!
  • Opportunity to work with a smart, passionate, mission-focused team that also knows how to have fun

 

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.


Why join EquityZen?

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

  • Learn from our investors (early Twilio, MakerBot, and more!)
  • Access corporate discounts such as commute, gym, rentals, etc.
  • 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 you 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!