We are a 100% remote team!
About Linqto: Linqto is a technology-enabled investment platform allowing Accredited Investors to identify, evaluate, invest in, and trade securities in the world’s leading unicorns and other private companies. Linqto also provides liquidity for private securities markets. Founders, VCs, and employees can realize early returns and liquidity without waiting for an IPO or sale, and companies can stay private longer by providing liquidity on an ongoing basis, not just at exit. The Linqto platform makes the private securities asset class accessible while reducing costs and saving time with the flexibility of trading directly on the Company’s mobile app. Linqto aims to democratize private investing and build a community of like-minded investors, providing both an investment platform and education about private markets and individual companies.
About the Role:
We are looking for a Compliance Analyst who will focus on the review and approval of communications with the public, including marketing, sales content, social media, and the LInqto platform and app. The primary responsibilities will be to advise the business on compliant communications and reviewing content for use.
The successful candidate will be proactive to engage with content creators to identify potential risks early. The ideal candidate should be comfortable applying a regulatory framework to the use of quickly evolving technology, including artificial intelligence and machine learning.
Responsibilities
- Implement an enterprise-wide review and approval process for all marketing materials.
- Provide training and guidance to marketing teams on compliance standards and requirements, best practices, and internal processes.
- Draft appropriate disclosures and maintain a central marketing compliance resource.
- Coordinate with Legal, Marketing, and other departments to obtain necessary approvals and feedback.
- Support the compliance team as a Compliance generalist.
Requirements & Qualifications
- 5+ years experience with a broker/dealer and/or investment adviser.
- 2+ years of marketing compliance experience in a financial services firm
- Current Series 7 and 24 licenses required
- Regulation D private fund experience a plus
- Proficiency in FINRA Rules, securities laws, and other applicable regulations related to communications
- Strong ability to issue-spot and identify red flags.
- Strong communication skills, with the ability to explain the application of regulatory principles
Our team holds a common value to championing one another's talents to drive thoughtful solutions and operate using the principles of Cultural Humility. Learning is a lifelong process that requires self-awareness and self-critique, strong opinions loosely held, advocating and partnering with others.
Job Type: Full-Time, Remote Compensation: $125K-$175k commensurate on experience.
Salaries will vary and will be based on various factors, such as the candidate’s qualifications, skills, competencies, and proficiency for the role. The base salary is one component of Linqto’s total compensation package for employees. Other rewards and benefits include equity options, bonus programs, health, vision, dental, and disability insurance, life insurance, 401k, and paid time off. Linqto does not accept unsolicited resumes from search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired; such resumes will be deemed the sole property of Linqto.
Linqto is an equal-opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate based on race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law.
$125K-$175k commensurate on experience.
