Oakpoint Advisors specializes in crafting and executing bespoke capital formation strategies for private funds and companies. Through its registered broker-dealer, Oakpoint Solutions LLC, the firm collaborates with select GPs and companies in a private placement capacity. In addition, Oakpoint Advisors provides comprehensive outsourced Investor Relations services. Headquartered in Tampa, Florida, and established in 2009.
Responsibilities
Regulatory Compliance & OversightQualifications
10+ years of experience in broker-dealer compliance, preferably within a firm specializing in capital raising for private funds.
Current FINRA Series 24 (Principal) license required ; Series 7, 63, 79, or other relevant licenses are a plus.
In-depth knowledge of SEC, FINRA, and other regulatory requirements governing limited-purpose broker-dealers and private fund capital raising.
Experience managing FINRA/SEC examinations and regulatory filings .
Strong familiarity with Reg D offerings, private placements, and alternative investments .
Excellent leadership and communication skills, with the ability to work closely with senior executives, legal teams, and regulatory agencies.
Bachelor’s degree required; JD, MBA, or equivalent experience preferred.
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