Finalis is hiring a Delivery Analyst

Finalis is hiring a Delivery Analyst to be a critical safeguard for client compliance and a driver of operational efficiency. You will ensure adherence to FINRA and SEC regulations while helping to modernize legal and compliance processes through technology.

What You'll Do

• Review written communication and marketing materials to ensure client compliance with FINRA requirements and Finalis guidelines.
• Review user transaction documents following guidance from supervising attorneys and compliance officers.
• Assist in conducting compliance due diligence and KYC/AML-related tasks.
• Serve as a key point of contact for users on legal and compliance materials and issues.
• Support account management teams by structuring solutions to user issues.
• Maintain a knowledge base of common legal and compliance questions and responses.
• Assist in researching and responding to inquiries from FINRA, the SEC, and other regulators.
• Support the digital transformation of legal and compliance functions onto the technology stack.
• Provide feedback to improve operational and tech-enabled systems for legal and compliance operations.
• Successfully pass the FINRA SIE, S82, and S24 exams within your first year.
• Maintain the Objectives and Key Results (OKRs) for the Execute Operations Team.
• Employ excellent English communication skills verbally and electronically.
• Work alongside Finalis attorneys and compliance officers as needed.

What We're Looking For

• 2+ years of demonstrated experience in compliance-related roles.
• Exceptional written and spoken English with excellent communication skills.
• Strong organizational skills and the ability to handle confidential information.
• Experience with Google Workspace.
• A systems thinker who evaluates opportunities to perform tasks more efficiently.
• Ability to work swiftly with urgency and be comfortable with shifting priorities and deadlines.
• A self-starter, quick learner, detailed, able to work independently and highly organized.
• Ability to follow up, know what's going on at all times, and respond quickly.
• A flexible, patient, persistent individual with a team spirit attitude.

Nice to Have

• Demonstrated experience in U.S. compliance.
• Demonstrated experience with digital transformation processes.
• Availability to work on Pacific Standard Time (PST).

Team & Environment

You will work closely alongside Finalis attorneys and compliance officers as part of a collaborative team.

Benefits & Compensation

• Competitive USD salary.
• High-Speed Internet expenses allowance.
• Generous Paid time-off (Vacation Time).
• Additional 17 Flex Days to use for national holidays or personal matters.
• People Team Partner for career path planning.
• Buddy Program.
• Virtual After-Office Activities.
• Diverse Culture & Inclusive environment.

Work Mode

This is a 100% remote position with a global team.

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.