Compliance-Legal Operations Analyst

🚀 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 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 user transaction documents within guidelines established by supervising attorneys and compliance officers and providing 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 and contribute to enhance Finalis’ product in a way that streamline legal and compliance processes and that improves 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

💬 Who are we looking for 

• You hold a degree in law or in a related field

• You have 2+ years of demonstrated experience in corporate law or compliance-related roles. 

• You have exceptional written and spoken English

• You have excellent communication skills 

• You have strong organizational skills 

• You can handle confidential information

• You have Google workspace experience

• You are a systems thinker and evaluate opportunities to perform the same task more efficiently

• You are able to work swiftly with urgency and be comfortable with shifting priorities and deadlines

• You are a self-starter, quick learner, detailed, able to work independently and highly organized 

• You are able 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

Bonus Track! 

• You have demonstrated experience in U.S. compliance

• You have demonstrated experience with digital transformation processes

• Availability to work on Pacific Standard Time (PST)

🌟 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)

• Professional Growth Benefits in our E-Learning Platform (Coursera) (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

🌈 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:

• Embodying the trust we deliver

• Engage with purpose

• Practice stewardship

• Value learning

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.