Investment Banking Compliance Analyst

🚀 About Finalis Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments. ✨ About the role The Investment Banking Compliance Analyst supports Finalis ’s investment banking and private markets business by providing compliance guidance throughout the transaction lifecycle. This role works directly with investment bankers and registered representatives on private placements, M&A engagements, and other private market transactions, from initial engagement and due diligence through closing. We are looking for someone who is intellectually curious and enjoys understanding how transactions work. The strongest candidate will be comfortable analyzing complex or unfamiliar structures, asking thoughtful questions, and becoming a trusted compliance resource to our bankers. ✍️ What you'll do Transaction & Regulatory Review Review proposed investment banking engagements, engagement letters, compensation arrangements, and transaction structures for compliance with applicable securities laws, FINRA requirements, and Finalis policies. Review private securities offerings and applicable Securities Act exemptions, with particular emphasis on Regulation D and Rules 506(b) and 506(c). Analyze M&A, seco