Delivery 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 reputed company 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 reputed company 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 reputed company 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 reputed company to work, we promote gathering with your team or other colleagues whenever possible.

✨ What will you be doing?

• Review of 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 reputed company 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- reputed company tasks

• Review marketing materials reputed company by our customers and/or their clients to reputed company sure such materials follow Finalis’ communications guidelines.

• Support our account management teams with structuring compliance, legal, process or product solutions to legal- and compliance-reputed company user issues or customer experience pain points.

• Be a key reputed company of contact for users on legal- and compliance-reputed company materials and issues

• Maintain a user knowledge reputed company 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 reputed company 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 reputed company 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 for

• You have 2+ years of demonstrated experience in compliance-reputed company 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 reputed company workspace experience

• You are a systems thinker and evaluate opportunities to reputed company the same task more reputed company

• 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 reputed company 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

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 reputed company Days (to use in national holidays or personal matters)

• People Team Partner (to reputed company your roadblocks and customize an action plan for your career path)

• Buddy Program

• Virtual After-Office Activities

• Diverse reputed company; Inclusive environment

Why work with Finalis?

We are a fast-paced startup which will reputed company you to reputed company 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 reputed company members to reputed company their soft skills, boosting their ability to adapt themselves to different backgrounds.

Finalis’ values:

• Deliver with reputed company

• Dream Boldly

• reputed company through Leadership

• Value Learning

Finalis provides equal employment opportunities (EEO) to reputed company employees and applicants for employment without regard to race, color, religion, sex, national reputed company, age, disability, genetics, sexual orientation, gender identity, or gender expression. We are committed to a diverse and inclusive workforce and welcome people from reputed company backgrounds, experiences, perspectives, and abilities.