Compliance Analyst

Summary

SRS Acquiom provides a platform and services for managing complex M&A and loan agency transactions. The Compliance Analyst will review and analyze contractual obligations, coordinate post-closing transaction distributions, manage client and stakeholder communications, and ensure accurate and timely release of funds.

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.