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, reviewing marketing materials, compliance, and is interested in finance, technology, and also building a business. If helping develop first-rate systems at an innovative, fast-growing startup excites you, we’d love to hear from you.
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 over 250 pre-IPO technology companies and is proud to be considered a liquidity provider for 60% of the largest US unicorns. A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 17,000+ 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.
Reporting to the General Counsel, you will:
- Help to develop a cutting-edge FinTech marketplace
- Work cross-functionally with legal, deal, product, technology and marketing teams
- Gain client exposure and the opportunity to communicate with customers
- Assist with regulatory examinations, securities law matters, reviewing advertising and marketing materials,
- Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones.
- Engage in risk-based-monitoring, communications review and help the firm meet other compliance requirements
- Prepare Form ADV, 5123s and other filings
- Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
- Provide training and advocate for compliance throughout the organization
- Learn about the most promising venture-backed companies and VC firms
THE RIGHT STUFF
- 3+ 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 the SEC’s Division of Examinations (formerly OCIE) or at FINRA or the OSC.
- Experience reviewing marketing materials and advertising, including performance advertising
- 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, with outstanding initiative, organization skills and attention to detail
- Outstanding judgment, uncompromising integrity and discretion
- Strong verbal and written communications 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
- Series 7 and Series 24 licenses
- Proficient in Microsoft PowerPoint, Excel & Word
- Experience in private placements, secondary markets or FinTech marketplaces,
- Experience working with an Exempt Market Dealer, including having taken, or interest in taking, the Exempt Market Products Exam or the Canadian Securities Course Exam, or other Canadian exams
- 1+ years working in compliance function at a fintech startup
- Undergraduate degree
- CAMS certification
Please note, all applications without cover letters will not be considered.
EquityZen offers a competitive salary, stock options, full employee benefits (health, dental, vision), individual professional development and wellness budget, flexible paid time off, and more!
We are dedicated to prioritizing all employees’ health and safety during the COVID-19 pandemic. We have a new, socially-distant friendly office space in NYC’s financial district where we have established strict protocols to protect the health and safety of all employees; however, working from the office is strictly voluntary until further notice.
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.