MicroVentures · 3 months ago
Senior Compliance Analyst
Austin, TX, US
Full-time
Onsite
Senior Level
5+ years expMicroVentures is seeking a Senior Compliance Analyst to work across multiple offices and departments to meet compliance and business objectives. The role involves analyzing and approving content for compliance regulations, conducting investment surveillance, and assisting in the development of compliance policies and procedures.
CrowdfundingFinanceFinancial ServicesFinTechFunding PlatformVenture Capital
Responsibilities
Analysis, review, and approval of content, including materials developed in conjunction with the due diligence process for private placement securities offerings, to ensure adherence to applicable compliance regulations for both issuers and the broker dealer
Investment and electronic communication surveillance, collaboration with compliance team to investigate and resolve or escalate issues
Analysis and review of documentation such as trust agreements, articles of organization, investment offering materials, and accreditation verification documentation
Assist the compliance team with developing, testing, and maintaining policies and procedures that are adequately designed to prevent, detect, and correct any compliance deficiencies; and
Work independently, and/or with others, to complete compliance-related projects, reviews, and other tasks as assigned
Qualification
Required
A strong educational background, including an undergraduate degree and at least 5 years of relevant experience
FINRA Series 7, 63, and 24 licenses
Excellent analytical skills, strong organizational, written, verbal skills
Working knowledge of federal securities regulations, e.g., the Securities Act of 1933, Investment Advisors Act of 1940, Investment Company Act of 1940, Regulation D, Regulation CF, and Regulation A+
Knowledge of the private placement and crowdfunding business, including the capital raise process, products, due diligence, compliance, and administration
Service-oriented with the ability to seek logical, equitable, and compliant solutions in a collaborative, professional, and proactive manner
Detail-oriented and focused on producing accurate and high-quality results
Demonstrated ability to work effectively and cross-functionally within a small startup organization and with employees at all levels
Ability to prioritize, multi-task, meet or exceed deadlines, and maintain flexibility in fast-paced, changing environment
Able to perform both collaboratively and with minimal supervision
Benefits
Healthcare, dental, vision, disability
401(k) + match
Company equity
A challenging, fast-paced, continually changing environment
Fully stocked break room
Company
MicroVentures
MicroVentures is an online equity crowdfunding platform enabling angel investors to connect with startups to raise capital.
11-50 employees
Funding
Current Stage
Early StageTotal Funding
$3.39MKey Investors
Ecosystem Ventures
2020-12-29Series Unknown
2017-01-10Equity Crowdfunding· $1.4M
2013-07-18Series Unknown· $1.54M
Leadership Team
Bill Clark
CEO and Founder
Ernesto Paiz
Venture Partner
Recent News
2025-07-08
jkhcapital.com
2023-09-04
Company data provided by crunchbase