Compliance Officer

About Us

Eqvista, Inc. is a top-tier provider of equity management and cap table solutions, trusted by leading businesses and financial institutions to manage their equity structures with precision, transparency, and compliance. Our innovative platform is at the forefront of the industry, offering advanced solutions that meet the highest standards of regulatory compliance and operational excellence. As we continue to expand our offerings and client base, we are committed to maintaining the integrity and security of our operations, and we are seeking a skilled Compliance Officer to help us achieve this goal.

Role Overview

We are looking for an experienced and detail-oriented Compliance Officer to lead our compliance efforts and ensure that our operations meet all relevant regulatory requirements. In this role, you will be responsible for developing, implementing, and monitoring compliance programs, policies, and procedures that align with industry standards and regulatory expectations. You will work closely with internal teams and external stakeholders to ensure that our company operates with the highest level of integrity and compliance.

Key Responsibilities

• Regulatory Compliance: Ensure that the company complies with all relevant laws, regulations, and industry standards, including those related to equity management, data privacy, financial reporting, and corporate governance.
• Policy Development: Develop and implement comprehensive compliance policies and procedures, ensuring that they are communicated effectively to all employees and stakeholders.
• Risk Management: Identify and assess compliance risks, implementing strategies to mitigate potential issues and ensure ongoing compliance with regulatory requirements.
• Training & Awareness: Design and deliver compliance training programs for employees at all levels, promoting a culture of compliance and ethical conduct within the organization.
• Monitoring & Auditing: Conduct regular compliance audits and reviews to monitor adherence to policies and procedures, identifying areas for improvement and implementing corrective actions as needed.
• Reporting: Prepare and submit required compliance reports to regulatory authorities, senior management, and the board of directors, ensuring accuracy and timeliness.
• Investigations: Lead internal investigations into potential compliance violations, working with legal and HR teams to resolve issues and implement corrective actions.
• Advisory Role: Serve as a trusted advisor to senior management and the board of directors on compliance-related matters, providing guidance and recommendations to support strategic decision-making.
• Collaboration: Work closely with internal departments, including legal, finance, and IT, to ensure that compliance requirements are integrated into all business processes and initiatives.

Requirements

• Experience: 5+ years of experience in a compliance role, preferably within the financial services, FinTech, or equity management sectors.
• Regulatory Knowledge: Deep understanding of relevant regulations, including those related to securities, equity management, data privacy, and financial reporting.
• Analytical Skills: Strong analytical and problem-solving skills, with the ability to assess complex regulatory issues and develop practical solutions.
• Communication Skills: Excellent verbal and written communication skills, with the ability to effectively convey complex compliance requirements to a diverse audience.
• Attention to Detail: Meticulous attention to detail, with a focus on accuracy and thoroughness in all compliance activities.
• Education: Bachelor’s degree in Law, Finance, Business Administration, or a related field (Master’s or JD preferred).

Preferred Qualifications

• Certified Compliance Professional (CCP) or similar certification.
• Experience in a high-growth, startup, or SaaS environment.
• Familiarity with equity management platforms and cap table software.

What We Offer

• Competitive Compensation: Attractive salary with potential for performance-based bonuses.
• Equity: Opportunity to earn equity in the company as part of our employee stock option plan.
• Comprehensive Benefits: Health, dental, and vision insurance, along with a generous PTO policy.
• Professional Development: Opportunities for continuous learning, career advancement, and leadership development.
• Inclusive Culture: A collaborative, innovative, and supportive work environment where your contributions are valued.

How to Apply

If you are a compliance professional with a passion for maintaining the highest standards of regulatory integrity and are eager to contribute to the success of a top-tier equity management platform, we would love to hear from you! Please submit your resume and a cover letter detailing your experience and interest in the role to Careers@eqvista.com.

Eqvista, Inc. is an equal-opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.