InvestX Capital
Overview
Join to apply for the
US Counsel & Chief Compliance Officer
role at
InvestX Capital . Get AI-powered advice on this job and more exclusive features. This range is provided by InvestX Capital. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$160,000.00/yr - $190,000.00/yr The Company
InvestX was 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 and 80+ 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 about to launch our 5th Fund. InvestX is 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 in the private markets. You will work in conjunction with InvestX’s legal/compliance resources to manage the Company’s legal affairs as they relate to US corporate initiatives. This role will navigate through applicable securities laws and regulations in 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 analysis and manage all US related compliance responsibilities to assess, remediate, and monitor compliance risks. You will assume the Chief Compliance Officer role for our Broker-Dealer (BD). Our BD executes trades and offerings of private shares and does not manage client assets. The ideal candidate will have experience with US corporate and securities laws, experience in a compliance and management capacity, and a strong working knowledge of SEC, FINRA regulations as they pertain to private placements (under Reg D offerings). Responsibilities
Draft, revise, and negotiate agreements on behalf of the Company 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 of US legal/compliance requirements and related internal controls Familiarity with industry practices and professional standards Work side by side with Canadian legal and compliance resources Review and revise sales and marketing materials, website terms of use, Altigo account reviews, and other collateral items for compliance with applicable US federal and state laws and regulations. Monitor and assist in the management of US-related corporate initiatives. Qualifications
3+ years of related legal and compliance experience required. Admitted to practice in New York and in good standing. Proven experience in drafting and negotiating commercial and securities agreements. 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 with SEC, FINRA related regulations, private placement broker-dealers, RIAs, private fund formation, legal entity filings, and corporate governance. FINRA Series 24 an asset, willingness to achieve licenses as a requirement. 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, location and qualifications for the role. 2025 range is $160,000 - $190,000 USD plus incentive plan and equity. InvestX welcomes 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 job posting, please contact people@investx.com. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal Industries
Investment Management, Financial Services, and Venture Capital and Private Equity Principals Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process. If you have any questions about this job posting, please contact people@investx.com.
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Join to apply for the
US Counsel & Chief Compliance Officer
role at
InvestX Capital . Get AI-powered advice on this job and more exclusive features. This range is provided by InvestX Capital. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$160,000.00/yr - $190,000.00/yr The Company
InvestX was 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 and 80+ 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 about to launch our 5th Fund. InvestX is 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 in the private markets. You will work in conjunction with InvestX’s legal/compliance resources to manage the Company’s legal affairs as they relate to US corporate initiatives. This role will navigate through applicable securities laws and regulations in 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 analysis and manage all US related compliance responsibilities to assess, remediate, and monitor compliance risks. You will assume the Chief Compliance Officer role for our Broker-Dealer (BD). Our BD executes trades and offerings of private shares and does not manage client assets. The ideal candidate will have experience with US corporate and securities laws, experience in a compliance and management capacity, and a strong working knowledge of SEC, FINRA regulations as they pertain to private placements (under Reg D offerings). Responsibilities
Draft, revise, and negotiate agreements on behalf of the Company 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 of US legal/compliance requirements and related internal controls Familiarity with industry practices and professional standards Work side by side with Canadian legal and compliance resources Review and revise sales and marketing materials, website terms of use, Altigo account reviews, and other collateral items for compliance with applicable US federal and state laws and regulations. Monitor and assist in the management of US-related corporate initiatives. Qualifications
3+ years of related legal and compliance experience required. Admitted to practice in New York and in good standing. Proven experience in drafting and negotiating commercial and securities agreements. 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 with SEC, FINRA related regulations, private placement broker-dealers, RIAs, private fund formation, legal entity filings, and corporate governance. FINRA Series 24 an asset, willingness to achieve licenses as a requirement. 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, location and qualifications for the role. 2025 range is $160,000 - $190,000 USD plus incentive plan and equity. InvestX welcomes 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 job posting, please contact people@investx.com. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal Industries
Investment Management, Financial Services, and Venture Capital and Private Equity Principals Reasonable accommodation for applicants with disabilities is available upon request in connection with the recruitment process. If you have any questions about this job posting, please contact people@investx.com.
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