Finalis is hiring a Delivery Analyst

About the Role

Review client communications and transaction documents for compliance with regulatory standards, support legal and compliance teams, maintain compliance frameworks, and contribute to product improvements that enhance customer experience and operational efficiency.

Responsibilities

• Evaluate written communications to ensure adherence to FINRA regulations and prevent non-compliant conduct.
• Examine user transaction documentation following guidance from legal and compliance leadership and assist with related legal matters.
• Support compliance due diligence efforts, including KYC and AML procedures.
• Assess marketing content created by clients or their customers to confirm alignment with company communication standards.
• Collaborate with account management to develop compliance, legal, or process-based solutions for customer challenges.
• Serve as a primary contact for users on legal and compliance-related inquiries.
• Develop and maintain a repository of common compliance questions and standardized responses.
• Help research and respond to regulatory inquiries from FINRA, the SEC, and other securities authorities.
• Contribute to integrating legal and compliance functions into technology systems to improve efficiency and user experience.
• Suggest improvements for tech-driven compliance operations and execution platforms.
• Pass the FINRA SIE, S82, and S24 licensing exams within the first year of employment.
• Track and maintain Objectives and Key Results (OKRs) for the Execute Operations Team.
• Apply strong English language skills in verbal and electronic communication.
• Uphold accountability, ethical standards, and integrity in daily responsibilities.
• Collaborate with in-house legal and compliance professionals as required.

Requirements

• Minimum of two years of experience in compliance-focused positions.
• Exceptional proficiency in written and spoken English.
• Strong interpersonal and communication abilities.
• Highly organized with excellent attention to detail.
• Capable of managing sensitive and confidential data.
• Familiarity with Google Workspace tools.
• Thinks systematically and identifies ways to optimize workflows.
• Works quickly under pressure and adapts to changing priorities and timelines.
• Self-motivated, detail-oriented, independent worker with a fast learning curve.
• Proactive in following up and maintaining awareness of ongoing matters.
• Flexible, persistent, patient, and collaborative in team settings.

Nice to Have

• Proven background in U.S. regulatory compliance.
• Experience supporting digital transformation initiatives.
• Willingness and ability to work during Pacific Standard Time hours.

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
• Diverse Culture & Inclusive environment

Compensation

Competitive USD salary

Work Arrangement

100% Remote

Team

Fully remote team operating across Pacific Standard Time and Eastern European Time zones

🚀 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 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 within 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- 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 have 2+ years of demonstrated experience in 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). 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’ values

Deliver with Integrity. Dream Boldly. Empower through Leadership. Value Learning.

EEO Statement

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.

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