Compliance Legal Operations Analyst - Smarsh Specialist

February 20

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Finalis

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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.

private equity • project management • information technology • mergers & acquisitions • fintech

51 - 200 employees

📋 Description

• Review of the written communication to assure that our clients are compliant with FINRA requirements and to prevent any possible uncompliant actions. • Review user transaction documents within guidelines established by supervising attorneys and compliance officers and providing 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

🎯 Requirements

• 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

🏖️ Benefits

• 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) • Professional Growth Benefits in our E-Learning Platform (Coursera) (take your skills to the next level!) 🚀 • 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