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Funding Circle

Compliance Analyst

Funding Circle is seeking a passionate and highly motivated Compliance Analyst to join our Compliance Team.  The Compliance Analyst will have a high degree of responsibility and an opportunity to rise within the organization.  The opportunities ahead of us are unbound; we think big, and if you do too, we encourage you to join our talented team. 

 Birds-eye view of the role:

  • Conduct accredited investor verification in compliance with SEC Rule 501 of Regulation D
  • Support accredited investor due diligence inquiries relating to Funding Circle
  • Perform ongoing AML risk assessments to ensure compliance with all regulatory requirements
  • Review investor subscription and account sign-up documents
  • Frequently interface with existing and prospective accredited investors as part of the accredited investor verification and account setup/onboarding
  • Provide customer service support to existing accredited investors
  • Collaborate cross-functionally with capital markets team to onboard new investors and manage existing investor accounts
  • Manage internal federal and state tax filings and annual disclosures
  • Research, file and manage state blue sky filings as needed
  • Assist with writing/revision of compliance policies and procedures
  • Perform compliance monitoring/testing as needed
  • Directly support Senior Compliance Analyst 

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Our ideal teammate has:

  • 0-3 years of experience in a compliance or operations role for a financial institution, serving as a paralegal, or a relevant internship 
  • This is an entry-level position. If you have more than 3 years of experience,  please do not apply 
  • Excellent written and verbal communication skills
  • Strong character and integrity
  • Familiarity with SEC/FINRA regulatory compliance rules and regulations
  • Enthusiasm for a high-paced, team-oriented start-up environment
  • Keen attention to detail and exceptional organizational skills
  • Identification with our mission, “to build a better financial world” 
  • Alignment with our core values: Make it happen, Be open, Stand together, Think smart, Live the adventure

Why Join Us?

Happy employees are productive employees, that’s why we offer a hearty benefits package. From learning and development and commuter stipends, to a competitive salary, equity, and health benefits, we’ve got you covered! That being said, have you heard about what we're doing?! Our mission is what really motivates us to come to work each day:

  • We're supporting small business, the engine of economic growth.
  • We're helping facilitate higher yields for investors and lower interest rates for borrowers.
  • We can fund loans extremely quickly, all online!
  • We have a clear competitive advantage globally in areas like domain expertise and regulatory processes.

To learn more about our work environment, culture, and perks, visit:

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Funding Circle provides equal employment opportunity to all individuals regardless of their race, age, creed, color, religion, national origin or ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, gender identity or expression, pregnancy, or any other characteristic protected by state, federal or local law. 

 

Job ID: oliP2fwe
Employment Type: Other

This job is no longer available.

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