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Responsibilities:

  • Review user transaction documents within the guidelines established by supervising attorneys and compliance officers and provide support with legal and compliance issues.
  • 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 and contribute to enhance Finalis’ product in a way that streamline legal and compliance processes and that improves the customer’s experience.

Qualifications:

  • You have 2+ years of demonstrated experience in compliance-related roles.
  • You have exceptional written and spoken English.
  • You are a systems thinker and evaluate opportunities to perform the same task more efficiently.

Benefits:

  • 100% Remote work (Work from wherever you want!)
  • Additional 17 Flex Days (to use in national holidays or personal matters)
  • Diverse Culture & Inclusive environment

Finalis

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. 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. They deliver a white-labeled regulatory affiliation and compliance back-office solution. With Finalists from different countries and cultures, they encourage our team members to develop their soft skills, boosting their ability to adapt themselves to different backgrounds.

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