Compliance Consultant and Supervisory Specialist

Finalis

Finalis is building the largest investment banking platform in the world. 

🚀 What does Finalis do?

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors.

Finalis provides additional leverage to securities brokers with the Finalis Platform, which delivers a hassle-free deal management solution and a Marketplace that connects brokers with one another to gain insights and explore collaborations.

Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

Join us in disrupting the securities industry, for good. 

🌍 How does Finalis work?

  • We are a fully-remote company with Finalists distributed between the time zones of Eastern Standard Time and Eastern European Time .

  • If you’re located outside this time zone range, depending on the needs of your team, you may be requested to be available during specific hours.

  • Although we don’t have an official physical place to work, we promote gathering with your team or other colleagues whenever possible. 

🤝 What about your team?

  • As a Compliance Consultant and Supervisory Specialist, you will be pivotal in ensuring compliance with regulatory requirements and supervisory oversight for our broker-dealer consulting clients. You will be responsible for various consulting and supervisory tasks, including conducting audits, overseeing advertising and marketing reviews, managing onboarding processes, and providing Series 24 support to the broker dealer’s operation team.

What will you be doing?

Key Responsibilities:

Compliance Consulting Services (Finalis Consulting LLC):

  • Conduct 3120 audits to assess compliance with FINRA rules and regulations.

  • Perform anti-money laundering audits and provide recommendations for improvements.

  • Review advertising and marketing materials for compliance with industry guidelines.

  • Assist in onboarding registered representatives onto the FINRA Gateway system.

  • Maintain the WSPs for consulting clients.

  • Coordinate and facilitate annual compliance meetings.

  • Prepare quarterly attestations and reports for regulatory compliance.

  • Manage regulator inquiries and audits, including responding to requests and ensuring timely resolution.

  • Stay up-to-date with regulatory changes and industry best practices.

  • Participate in the development and implementation of software solutions for the consulting offering.

Supervisory Support (Finalis Securities LLC):

  • Provide Series 24 support to the broker-dealer’s operation team, including training and guidance.

  • Assist in conducting deal supervision for all capital raise and M&A transactions conducted at the firm while providing adequate documentation.

  • Collaborate with compliance officers and legal counsel to address regulatory concerns and internal escalations.

  • Participate in developing and implementing supervisory policies and procedures along with guidance to software development.

💬 Who are we looking for 

  • Bachelor’s degree in finance, business, or related field.

  • FINRA Series 24, Series 79, Series 82, and Series 63 licenses.

  • Certified Anti-Money Laundering Specialist (CAMS) certification or equivalent AML certification.

  • Entrepreneurial spirit and a business disrupter mindset, with a track record of innovative problem-solving and a passion for driving change and improvement.

  • Minimum of 10  years of experience in FINRA Broker-Dealer compliance.

  • Strong understanding of FINRA and SEC rules and regulations.

  • Excellent written and verbal communication skills.

  • Detail-oriented with exceptional organizational skills.

  • Ability to work independently and in a team environment.

  • Familiarity with the FINRA Gateway system.

  • You have exceptional written and spoken English

  • You have Google Workspace experience

  • You have excellent communication skills 

  • You have strong organizational skills 

  • You can handle confidential information

  • You have the ability to work swiftly with a high sense of urgency and be comfortable with shifting priorities and deadlines

  • You are a self-starter, quick learner and highly organized with attention to detail

  • You have the ability to follow up; know what’s going on at all times and respond quickly

  • You are flexible, patient, persistent and have a team spirit attitude

  • Work during office hours in the Pacific Time Zone (GMT -7)

Bonus Track! 

  • Certified Regulatory Compliance Professional (CRCP) designation.

  • Experience with capital raise and M&A transactions.

  • Prior supervisory experience in a broker-dealer setting.

🌟 What do we offer?

  • 100% Remote work (Work from wherever you want!)

  • Competitive USD salary 

  • Generous Paid time-off (Vacation Time!)

  • Additional 17 Flex Days (to use in national holidays or personal matters)

  • Professional Growth Benefit (take your skills to the next level!) 🚀

  • People Team Partner (to target your roadblocks and customize an action plan for your career path)

  • Buddy Program

  • Virtual After-Office Activities 

  • Diverse Culture & Inclusive environment

  • Benefits Package [if applicable]

  • Paid Family Leave [if applicable]

🌈 Why work with Finalis?

We are a fast-paced startup which will enable you to develop skills quickly and work in an entrepreneurial culture where pushing limits and taking risks is everyday business. As we have Finalists from different countries and cultures, we encourage our team members to develop their soft skills, boosting their ability to adapt themselves to different backgrounds.

Finalis’ core values:

  • We embody the trust we deliver

  • We are extremely proactive

  • We challenge conventional wisdom

  • We’re passionate about our work

  • We exercise stewardship with our users, investors and each other.

Finalis provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity, or gender expression. We are committed to a diverse and inclusive workforce and welcome people from all backgrounds, experiences, perspectives, and abilities.

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