Finalis is hiring a Junior Compliance Officer to support the development and implementation of policies across the organization. This role is designed for a detail-oriented professional eager to build expertise in regulatory compliance while contributing to operational excellence and supporting sustainable growth.

What You'll Do

Support the drafting, review, and maintenance of internal compliance policies.
Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements.
Assist in designing policies that balance risk management with operational efficiency and customer experience.
Contribute to a comprehensive policy framework that supports sustainable growth and scalability.
Maintain version control and documentation standards for all policy materials.
Translate approved policies into actionable procedures and operational guidelines.
Support the creation and ongoing updates of Standard Operating Procedures (SOPs).
Ensure internal documentation, including WSPs and knowledge base materials, remains consistent and up to date.
Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates.
Liaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible.
Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies.
Support internal stakeholders by providing guidance on policy interpretation and procedural application.
Assist in preparing materials and documentation needed for internal reviews or regulatory examinations.
Generally support the senior leaders within the Compliance in the daily administration of the firm’s Compliance Program.

What We're Looking For

Bachelor’s degree in Finance, Business, Law, or a related field.
3-5 years of experience in compliance, risk, regulatory research, or a related function.
Strong research and analytical skills.
Highly detail-oriented with strong organizational skills.
Strong written communication skills, particularly in drafting structured documentation.
Able to synthesize regulatory guidance into clear, practical language.
Collaborative and comfortable working cross-functionally.
Proactive, curious, and eager to learn.
Able to manage multiple priorities in a structured and disciplined manner.
Proficient in Google Workspace and documentation management tools.
Available to work during Pacific Time Zone business hours (GMT -7).

Nice to Have

Broker-dealer experience.
Understanding of financial services regulatory environments (FINRA/SEC knowledge is a plus).
Familiarity with compliance documentation such as WSPs and SOPs.

Technical Stack

Google Workspace
Documentation management tools

Team & Environment

You will support senior leaders within the Compliance team in a fast-paced startup environment that encourages quick skill development and an entrepreneurial culture.

Benefits & Compensation

Competitive USD salary.
100% Remote work (Work from wherever you want!).
High-Speed Internet expenses allowance.
Generous Paid time-off (Vacation Time!).
Additional 17 Flex Days (to use in national holidays or personal matters).
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.