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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 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.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.How Finalis worksWe are a fully-remote company with Finalists distributed between the time zones of Pacific 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 will you be doing?Review the written communication to ensure that our clients are compliant with FINRA requirements and to prevent any possible non-compliant actions.Review user transaction documents within the guidelines established by supervising attorneys and compliance officers and provide support with legal and compliance issues.Assist in conducting compliance Due Diligence- and KYC/AML-related tasks.Review marketing materials prepared by our customers and/or their clients to make sure such materials follow Finalis’ communications guidelines.Support our account management teams with structuring compliance, legal, process or product solutions to legal- and compliance-related user issues or customer experience pain points.Be a key point of contact for users on legal- and compliance-related materials and issues.Maintain a user knowledge base of common legal and compliance questions and responses.Assist in researching and responding to comments and/or inquiries received from FINRA, the SEC, and applicable state and foreign securities regulators.Support the digital transformation of legal and compliance functions to our technology stack to streamline legal and compliance processes and improve the customer’s experience.Provide feedback on ways to improve the operational and tech-enabled Execute systems for legal and compliance operations.Successfully pass the FINRA SIE + S82 + S24 exams within the first year of joining Finalis.Maintain the Objectives and Key Results (OKRs) for the Execute Operations Team.Employ your English communication skills by communicating verbally and electronically.Demonstrate accountability, ethics, and integrity in carrying out your day-to-day duties.Work alongside Finalis attorneys and compliance officers as needed.Availability to work on Pacific Standard Time (PST).Who are we looking for2+ years of demonstrated experience in compliance-related roles.Exceptional written and spoken English.Excellent communication skills.Strong organizational skills.Ability to handle confidential information.Google Workspace experience.A systems thinker who evaluates opportunities to perform the same task more efficiently.Ability to work swiftly with urgency and comfort with shifting priorities and deadlines.Self-starter, quick learner, detailed, able to work independently and highly organized.Ability to follow up, stay on top of what’s going on, and respond quickly.Flexible, patient, persistent, and team spirit attitude.Bonus Track!Demonstrated experience in U.S. compliance.Demonstrated experience with digital transformation processes.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.Buddy Program.Virtual After-Office Activities.Diverse culture & inclusive environment.Why work with Finalis?We are a fast-paced startup that will enable you to develop skills quickly and work in an entrepreneurial culture where pushing limits and taking risks is everyday business. We encourage team members to develop their soft skills to adapt to different backgrounds.Finalis’ valuesDeliver with IntegrityDream BoldlyEmpower through LeadershipValue Learning
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