Finalis is a 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.
Requirements
- Review written communication to ensure clients are compliant with FINRA requirements
- Review user transaction documents within established guidelines
- Assist with compliance Due Diligence- and KYC/AML- related tasks
- Review marketing materials to ensure compliance
- Support account management teams with compliance solutions
- Maintain user knowledge base of common legal and compliance questions and responses
- Assist in researching and responding to regulatory inquiries
- Support digital transformation of legal and compliance functions
Benefits
- 100% Remote work
- Competitive USD salary
- High-Speed Internet expenses allowance
- Generous Paid Time-Off
- 17 Flex Days
- People Team Partner
- Buddy Program
- Virtual After-Office Activities
