The IA Compliance Officer/Senior Compliance Officer will support the Chief Compliance Officer and Deputy Chief Compliance Officer – Wealth Management in all aspects of the Firm’s investment adviser compliance program, establishing and testing internal controls related to investment advisory services.

We are seeking a proactive and experienced Compliance Manager to develop, implement, and manage compliance programs, policies, and procedures at a new FINRA-registered broker-dealer. The ideal candidate will oversee supervisory functions, collaborate with regulators, and ensure the firm operates in compliance with all applicable requirements.

This individual will work closely with other members of the Legal and Compliance division, and collaborate with other departments across the firm including Fraud Operations, Product Support, and Engineering to support the Financial Intelligence Unit (FIU). Responsibilities include conducting in-depth investigations, filing SARs, and maintaining accurate metrics for FIU investigations and SAR filings.

As Finalis continues to rapidly grow, we are seeking a Legal Operations Associate who will play a crucial role within our tightly-knit team, working directly with the Associate General Counsel. This role demands a proactive approach to maintaining and updating legal documents, leading negotiations, and ensuring strict adherence to all regulatory requirements. The associate will also manage the escalation of issues outside pre-approved frameworks.

Lead the compliance program for the trading and prime brokerage business, supporting new business activity across multiple regulated entities. Work with various business units to ensure products and services are compliant with regulations, defining the long-term strategy for Trading Compliance in the evolving digital asset space.