Legal Ops Associate

March 5

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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

• As Finalis continues to rapidly grow, we are seeking a Legal Operations Associate who will play a crucial role within our tightly-knit team, working directly with the Associate General Counsel. • The ideal candidate will adhere to established policies and procedures, facilitating essential communications across various teams, including Customer Success and Compliance. • This role demands a proactive approach to maintaining and updating legal documents, leading negotiations, and ensuring strict adherence to all regulatory requirements. • The associate will also manage the escalation of issues outside pre-approved frameworks to the applicable key stakeholder, ensuring alignment with our firm's strategic goals. • Uphold and meticulously follow the legal team’s established procedures and regulatory requirements. • Facilitate and coordinate conversations across different teams, including Customer Success and Compliance, to ensure legal and regulatory alignment. • Review, revise, and manage legal agreements and engagement letters, ensuring they meet internal policies and regulatory standards. • Lead contract negotiations, ensuring favorable terms and compliance with legal frameworks. • Proactively escalate matters that deviate from policies and procedures. • Contribute to the continuous improvement of legal processes and documentation. • Providing support with the lifecycle of contracts and templates.

🎯 Requirements

• You have exceptional written and spoken English • You have a minimum of 4+ years of relevant work experience as an attorney • You have experience working at a broker dealer or financial institution; and are familiar with applicable regulations such as FINRA rules. • You have Google Workspace experience • You have excellent communication skills • You have strong organizational skills • You can handle confidential information • You have the ability to work swiftly with a high sense of urgency and be comfortable with shifting priorities and deadlines • You are a self-starter, quick learner and highly organized with attention to detail • You have the ability 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 experience using CRM, CLM, Jira, and/or Excel. • Compliance experience

🏖️ 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 • Benefits Package [if applicable] • Paid Family Leave [if applicable]