EquityZen is hiring a

Marketplace Compliance Analyst

New York, United States

EquityZen is an early-mid stage financial technology company, backed by leading venture and private equity investors. We’re looking for a collaborative, organized and hardworking Marketplace Compliance Analyst, who loves interacting with customers and teammates, and is interested in finance, technology, and law. If you're interested in assisting with deals on EquityZen’s innovative marketplace for investments in private technology companies, let's chat!

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 200 pre-IPO technology companies and is proud to be considered a liquidity provider for 1 out of 2 of the largest unicorns. A testament to EquityZen's secure, paperless, and industry-defining online investment platform, we have successfully completed 12,000+ 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.

WHAT YOU’LL DO

  • Reporting to the Marketplace Director, this person will work with potential sellers and buyers on EquityZen’s marketplace to efficiently obtain required documentation and answer questions
  • Review & analyze shareholder ownership documents, including options paperwork, to confirm ownership and transfer restrictions
  • Follow-up with customers on required KYC (know-your-customer) information, including diligence on legal entities, trusts and individuals
  • Be proactive in following through on next steps

THE RIGHT STUFF

  • 1+ years’ experience as a compliance analyst, paralegal, or legal assistant in a regulated financial institution
  • Undergraduate degree 
  • Familiar with (or at least not intimidated by) securities related filings (including Form D filings)
  • Strong communication skills (verbal, listening and written)
  • Strong organizational skills
  • Is comfortable with structured work and repeatable tasks 
  • Demonstrated skills in process improvement and/or ability to quickly tackle complex processes/topics
  • Works hard and smart with attention to detail and relishes working with long, detailed documents and checklists

BONUS POINTS IF YOU HAVE

  • Experience in private placements, investment funds, capital markets, or FinTech marketplaces
  • Prior experience with KYC or AML would be a plus
  • Experience with secondary markets or crowdfunding 

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.