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about 2 months ago
Requirements and responsibilities
About FinalisFinalis 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 supporting 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.How Finalis worksFully-remote company with Finalists distributed between the time zones of Eastern Standard Time and Eastern European Time.If located outside this time zone range, you may be requested to be available during specific hours.Although Finalis doesn’t have an official physical place to work, the team promotes gathering with colleagues whenever possible.What will you be doing?Key ResponsibilitiesPolicy Development & GovernanceSupport the drafting, review, and maintenance of internal compliance policies.Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements, and that policies reference applicable securities (FINRA, SEC, etc.) rules, regulatory notices, and acts.Assist in designing policies that balance risk management with operational efficiency and customer experience.Contribute to a comprehensive policy framework that supports sustainable growth and scalability.Maintain version control and documentation standards for all policy materials.Procedure & SOP AlignmentTranslate approved policies into actionable procedures and operational guidelines.Support the creation and ongoing updates of Standard Operating Procedures (SOPs).Ensure internal documentation (including WSPs and knowledge base materials) remains consistent and up to date.Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates.Cross-Functional CollaborationLiaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible and effectively implemented.Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies.Support internal stakeholders by providing guidance on policy interpretation and procedural application.Assist in preparing materials and documentation needed for internal reviews or regulatory examinations.Generally support senior leaders within Compliance in the daily administration of the firm’s Compliance Program.QualificationsBachelor’s degree in Finance, Business, Law, or a related field.3-5 years of experience in compliance, risk, regulatory research, or a related function (broker-dealer experience preferred but not required).Strong research and analytical skills.Understanding of financial services regulatory environments (FINRA/SEC knowledge is a plus).Familiarity with compliance documentation such as WSPs and SOPs is preferred.Professional ProfileHighly detail-oriented with strong organizational skills.Strong written communication skills, particularly in drafting structured documentation.Able to synthesize regulatory guidance into clear, practical language.Collaborative and comfortable working cross-functionally.Proactive, curious, and eager to learn.Able to manage multiple priorities in a structured and disciplined manner.Proficient in Google Workspace and documentation management tools.Available to work during Pacific Time Zone business hours (GMT -7).What do we offer?100% Remote work (work from wherever you want).Competitive USD salary.High-Speed Internet expenses allowance.Generous paid time-off (Vacation Time).Additional 17 Flex Days (to use in national holidays or personal matters).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.Finalis valuesDeliver with IntegrityDream BoldlyEmpower through LeadershipValue Learning
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