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Compliance & Operations Analyst

SeedInvest is seeking to hire a Compliance & Operations Analyst to join our Compliance team in New York, NY. This is a salaried, full-time role. We’re looking for a bright, passionate individual who will dive head-first into the execution of various compliance-related operations. Our ideal candidate will be eager to gain expertise in the regulatory space and contribute to creating scalable processes to improve issuer and investor experiences.  If you are excited by the idea of not just providing, but building delightful and thoughtful customer experiences while embracing compliance, risk, and the gravity of working in a new space being carved out in financial services, then we hope to hear from you! 

 

You'll be leading the charge on (overarching goals):

  • Executing flawlessly on compliance, investment, and post-fundraise operations
  • Researching, reviewing, then building or improving on the issuer and investor experience post-fundraise

 

You'll be responsible for (representative responsibilities):

  • Facilitating investment operations such as KYC, AML, and payment verifications
  • Facilitating investment and share issuance reconciliation processes
  • Facilitating post-fundraise closing mechanics
  • Supporting ongoing post-fundraise operations for issuers (including shareholder voting, transfer requests, distributions, liquidations, and dissolutions)
  • Preparing and completing certain routine regulatory and compliance filings  (i.e. BSA Filings, FINRA Rule 5110, and FINRA Rule 5123) 

 

You should already have or be amazing at (the requirements):

  • Communicating clearly and concisely with SeedInvest customers and team members.
  • The English language, both written and spoken.
  • 1-3+ years of experience in compliance, operations, and/or risk.
  • Attention to detail and obsession with documentation or note-taking.
  • Extreme bias for action; you do what it takes but always with utmost integrity.
  • Demonstrated ability to consider and optimize for the end-user/customer.
  • Passion for SeedInvest’s mission.

 

Extra awesome (other items we look for):

  • Fintech, financial services, or startup experience.
  • Experience with private/startup investing and/or fundraising.
  • BA/BS degree from a leading academic institution.
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