US Counsel & Chief Compliance Officer

The Company

InvestXwas launched in 2014 with a mission to bring transparency and trust to the private equity market. We are a leading cross-border pre-IPO investor offering access to private equity deals that, for many decades, were exclusive to a limited investing population.

With over US$500 million in investments and80+portfolio companies, we work with leading North American registered security firms to offer accredited investors private equity investment opportunities in companies including Airbnb,SoFi, Spotify, DocuSign, Patreon, and many more.We have successfully launched multiple SPVs (Special Purpose Vehicles) and diversified funds and are currently investing in our 4th Fund.

InvestXis backed by leading financial institutions Jefferies, Virtu Financial, and Canaccord Genuity and has been featured in CNBC, Forbes, Bloomberg, U.S. News, Business Insider, Reuters, The Globe and Mail, and many other publications.

The Position

Reporting to the CFO, you will work with a team of strong, focused professionals who are setting the bar for work inthe private markets.You willworkin conjunction with InvestXs Canadian legal/compliance teamto manage the Companys legal affairs as they relate to US corporate initiatives. This role will navigate throughapplicablesecurities laws and regulationsin the US, review and draft US legal agreements, consult with US external counsel on exceptional matters,and provide oversight on all US related legal affairs.You will also conduct regulatory analysisand manage all US relatedcomplianceresponsibilitiesto assess, remediate, and monitor compliance risks.You will assume the Chief Compliance Officer role for our Broker-Dealerand ATS. Our BD executes trades and offerings of private shares and does not manage client assets.The ideal candidate will have experience withUScorporate andsecuritieslaws, experience in a compliance and management capacity,and astrongworkingknowledge ofSEC, FINRAregulationsas they pertain toprivate placements(underReg D offerings).

Location: New York, NY, Hybrid (currently 3 days per week in-office)

Responsibilities

• Draft, revise, and negotiate agreements on behalf of theCompany as related to US securities laws/regulations.
• Act as the Chief Compliance Officer for all regulated activities in the US; establish compliance programs and processes in accordance with best practices and knowledge of the regulatory environment.
• Educate and train Company personnel on current and impending regulations as well as industry best practices.
• Knowledge ofUSlegal/compliance requirements and related internal controls
• Familiarity with industry practices and professional standards
• Work side by side with the Canadian legal/ and the Canadian CCO
• Review and revisesales andmarketing materials, website terms of use, Altigo account reviews, and other collateral items for compliance withapplicable USfederal and statelaws and regulations.

• Monitor and assist in the management of US-related corporate initiatives (including electronic trading platform).

Qualifications

• 5+ years ofrelatedlegaland complianceexperience required.
• Admitted to practice in New York and in good standing.
• Proven experience in drafting and negotiating commercialandsecuritiesagreements.
• A self-motivated, entrepreneurial, and outside the box thinker with excellent time management and interpersonal skills.
• Ability to manage changing priorities and a diverse range of legal duties, and a desire to innovate and excel.
• Possess a high level of independence, initiative, creativity, and attention to detail using excellent business judgment as well as strategic thinking skills.
• Financial services industry experience strongly preferred, including any experience withSEC, FINRArelatedregulations,private placement broker-dealers, RIAs, private fund formation,legal entity filings,and corporate governance.
• The primary focus is the U.S.; may include some international commercial work.

Salary & Benefits

• Actual salaries may vary based on factors, such as skill, experience,locationand qualifications for therole.
• 2024 range is $160,000 - $190,000 USD plus incentive plan and equity.
• Comprehensive Health & Benefit plan

When applying, note that you found this job at GoInhouse.com.

If this opportunity sounds like it is a good match with your skills,backgroundand career direction, please apply through our Careers Page (https://www.investx.com/careers/) with your cover letter and resume.

InvestXwelcomes applications from all qualified candidates, including women, persons with disabilities, aboriginal peoples, indigenous peoples, visible minorities, race, color, religion, sex, sexual orientation, gender identity, or national origin. Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process.If you have any questions about this jobposting,please contact [email protected].