Compliance Analyst

Summary

SRS Acquiom provides technology and services for managing complex M&A and loan agency transactions. The Compliance Analyst will review and analyze contractual obligations related to transaction distributions, coordinate with internal departments and external parties, and oversee the accurate and timely release of funds or shares.

Responsibilities

• Manage Client relationships and act as a single point of contact with Clients for the Shareholder Representative Services’ product post-closing
• Oversee and monitor an ongoing portfolio of post-closing distribution releases which include the process and delivery of cash and/or shares to target holders
• Perform in-depth review of various transactional agreements and legal contracts to determine the relevant legal information and complete thorough analysis to fully understand the post-closing contractual obligations
• Identify opportunities for cross-selling additional SRS Acquiom services
• Balance a large volume of email communication and pipeline
• Coordinate closely with internal teams to create accurate distribution waterfalls and ensure funds are released in a timely manner to the right parties
• Review and/or draft transactional instructions and/or any legal compliance documentation required to move funds
• Complete due diligence on post-closing M&A activities
• Communicate effectively and in a timely manner with external parties (C-Suite Executives, former CEOs, CFOs, Venture Capitalists, Major Shareholders, and M&A attorneys) to enforce and/or execute release of escrow funds or holdbacks pursuant to transactional agreements, as well as to provide status updates regarding the release of funds
• Serve as the primary internal and external contact point for release inquiries and contract interpretation requests
• Facilitate timely problem resolution to mitigate risk and prioritize action
• Accountable for the quality, accuracy, and timeliness of results
• Ensure quality service is consistently delivered to Clients
• Display and provide expertise in Compliance release matters
• Build and maintain strong client and inter-departmental relationships
• Help execute special projects as needed
• Deliver training as requested by Management
• Identify trends that could impact the release process
• Utilize critical thinking and strategies to provide viable solutions when issues arise
• Identify and provide in-depth follow-through to ensure any issues are resolved

Skills

• * Bachelor's degree, preferably in Finance, Economics, or Business, required
• * 3-5 years' experience within financial services
• * Proficient in all Microsoft Office products
• * Demonstrated ability to interpret contracts
• * Excellent communication, both verbal and written, facilitation, and interpersonal skills, including the ability to face off across all levels of an organization, as well as external stakeholders
• * Can work within deadlines and complete work in a timely manner
• * Takes ownership of issues and follows through to resolution
• * Can work independently or as part of a team, as the issue requires
• * Strong attention to detail
• * Strong analytical and organizational skills
• * The ability to manage multiple time-sensitive tasks in a challenging, fast-paced, deadline-driven, and fluid environment
• * Maintain a high level of confidentiality and integrity
• * Flexibility to work over various time zones to accommodate Clients and Management, when needed
• * Exposure to legal agreements or contracts with internal or external parties
• * Quick learner and adaptable to learn new processes, concepts, and skills
• * Ability to take initiative in learning and applying new skills
• * Highly motivated self-starter with the ability to work collaboratively and independently
• * Operates with the highest integrity and attention to detail
• * Ability to multitask, work in a demanding, fast-paced environment, and handle multiple competing priorities and projects with high-quality output
• * Ability to generate solutions and appropriately escalate to management
• * Knowledge of M&A transactions and/or M&A post-closing process
• * Must be available to work within Denver, Colorado, Mountain standard business hours
• * Ability to work irregular hours, such as nights/weekends or after hours, may be required
• * Work in fast fast-paced environment
• Candidates must be legally authorized to work in the United States without the need for current or future visa sponsorship to move forward in the hiring process
• * Client excellence experience dealing with high-net-worth individuals preferred

Qualifications

Must Haves

• * Bachelor's degree, preferably in Finance, Economics, or Business, required
• * 3-5 years' experience within financial services
• * Proficient in all Microsoft Office products
• * Demonstrated ability to interpret contracts
• * Excellent communication, both verbal and written, facilitation, and interpersonal skills, including the ability to face off across all levels of an organization, as well as external stakeholders
• * Can work within deadlines and complete work in a timely manner
• * Takes ownership of issues and follows through to resolution
• * Can work independently or as part of a team, as the issue requires
• * Strong attention to detail
• * Strong analytical and organizational skills
• * The ability to manage multiple time-sensitive tasks in a challenging, fast-paced, deadline-driven, and fluid environment
• * Maintain a high level of confidentiality and integrity
• * Flexibility to work over various time zones to accommodate Clients and Management, when needed
• * Exposure to legal agreements or contracts with internal or external parties
• * Quick learner and adaptable to learn new processes, concepts, and skills
• * Ability to take initiative in learning and applying new skills
• * Highly motivated self-starter with the ability to work collaboratively and independently
• * Operates with the highest integrity and attention to detail
• * Ability to multitask, work in a demanding, fast-paced environment, and handle multiple competing priorities and projects with high-quality output
• * Ability to generate solutions and appropriately escalate to management
• * Knowledge of M&A transactions and/or M&A post-closing process
• * Must be available to work within Denver, Colorado, Mountain standard business hours
• * Ability to work irregular hours, such as nights/weekends or after hours, may be required
• * Work in fast fast-paced environment
• Candidates must be legally authorized to work in the United States without the need for current or future visa sponsorship to move forward in the hiring process

Nice to Haves

• * Client excellence experience dealing with high-net-worth individuals preferred

Benefits

• Day‑one coverage: medical, dental, and vision plans so you’re protected from the start
• A 401(k) with a 4% company match to keep your future on track
• Discretionary time off - take the time you need, when you need it
• Employer‑paid life insurance, with the option to add extra coverage for peace of mind
• Employee Assistance Programs for confidential support when life gets complicated
• Discounted pet insurance (because furry family members count, too)
• A fitness credit to back your health and wellness goals
• Pre‑tax plans for dependent care, transportation, and flexible spending
• This position is either hybrid out of our Denver, CO office or a fully remote position from within the Continental United States.
• If the candidate selected lives within a 20-mile radius of our downtown Denver office, they will be classified as a hybrid employee and beginning September 8, 2026, working one day per week in office is expected. Beginning February 1, 2027, two days per week in the office will be expected.
• If the candidate selected lives outside a 20-mile radius the Denver office, they will be classified as a fully remote employee and in-person onsite visits to the Denver headquarters will be required on average three times per year.