Chief Regulatory Officer

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. Finalis 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 worlds largest dealmaking platform.

Join us in disrupting the securities industry, for good.

• ???? Who are we looking for?

15+ years of compliance experience with an SEC-registered, FINRA-member broker-dealer

Knowledge of Federal and State laws for operating an SEC-registered and FINRA-member broker-dealer and a registered investment advisor

Demonstrated track record with leading teams, continuously seeking ways to enhance the customer experience, driving profitability and scalability and implementing solutions that balance operational efficiency with business growth

Proven ability to think strategically and propose innovative solutions to complex problems with creative, forward-thinking approaches, contributing to the disruption of traditional models

Maintain a proactive can do and team player attitude and be a self-starter who enjoys working in a fast-paced and evolving environment

Highly organized and capable of dealing with complex projects under tight deadlines

Capacity to anticipate challenges, identify opportunities and address issues before they arise

Excellent organizational and project management skills

Outstanding written and spoken communication abilities

Excellent teamwork, interpersonal and conflict resolution skills

Capable of interacting with varied internal and external stakeholders who are geographically dispersed, including Design, Product, Engineering, Legal, Marketing, Operations and Sales

Experience with cross-border, non-U.S. compliance and regulatory frameworks is preferred

Experience in securities litigation, enforcement and regulatory law is preferred

At least a Bachelors level degree; a law degree is a plus

Experience in capital markets is a plus

Familiarity with software development lifecycles is a plus

Legal research and writing skills and discovery experience are a plus

FINRA Licenses : Series 7 (Required)

Series 24 (Required)

Series 63 (Required)

Series 79 (Nice to have)

Series 82 (Nice to have)

• ? What will you be doing?

Business-Centered Compliance Leadership

Understand Finalis mission, values, target audience, market and user segments.

Drive compliance in support of Finalis Product, Go-to-Market and Finance strategies.

Execute a comprehensive compliance strategy that aligns with Finalis business goals.

Develop and lead a high-performing compliance team in a remote-first cross-cultural context, attracting and retaining top talent and providing professional development.

Provide regular reports to management and escalate material matters as appropriate.

Foster a team culture of innovation, encouraging experimentation and collaboration.

Deliver data-driven cost reductions and greater revenue, efficiencies and productivity.

User-Centered Compliance Solutions

Help systematize, centralize and coordinate user delivery through the Finalis platform.

Work with internal and external stakeholders to ensure that policies, procedures, controls and platform workflows are user-centered, skate ahead to anticipate and respond to user needs and pain points and comply with applicable laws and industry best practices.

Ensure that policies, procedures, controls and platform workflows balance a delightful user experience, platform scalability, help drive profitability and manage enterprise risk.

Tackle compliance-related escalations from users and internal stakeholders while increasingly reducing escalations through policies, processes, controls and automation.

Market-Facing Compliance Automation

Understand and anticipate market needs and enhance Finalis competitive positioning.

Help execute a product-driven compliance roadmap to automate compliance workflows to include regulatory workflows that (a) deliver value to our users and regulators and (b) position Finalis as the leading industry Fintech platform and broker-dealer.

Understand software business needs and challenges and identify compliance innovation opportunities to include Artificial intelligence (AI) automation for compliance.

Identify challenges and opportunities in the regulatory environment and applicable trends and best practices to better leverage the Finalis platform to address regulatory needs.

Help drive buy vs. build vendor and product strategies and decision-making to meet and exceed regulatory requirements and deliver competitive differentiation.

Think outside of the box with compliance automation for a leading Fintech company.

Regulatory Leadership

Be the face of compliance with internal and external stakeholders and implement innovative and substantiated approaches to compliance decisions and strategies.

Manage interactions and relationships with regulators to include responding to inquiries, audits, findings and disclosures and determining applicable measures.

Manage all regulatory matters, examinations and inquiries across diverse areas to include investment banking, RIA, finance, technology, risk and operations.

Participate in industry committees and associations, such as FINRA committees, SIFMA and FIA, on emerging industry topics and issues relating to regulatory interactions.

Broker-Dealer Management

Maintain a deep understanding of FINRA, SEC, IRS and U.S. state-level regulations.

Identify and develop training materials and programs designed to ensure a high level of awareness and adoption of applicable legal / regulatory requirements / expectations.

Coordinate with internal and external stakeholders with reviews of potential violations and assist with identifying root causes and implementing remediation plans.

Implement proactive defensive and offensive enterprise risk management.

• ???? What do we offer ?

100% Remote work (Work from wherever you want!)

Competitive USD salary

Equity Compensation

High-Speed Internet expenses allowance

Generous Paid time-off (Vacation Time!)

Additional 17 Flex Days (to use for 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

Paid Family Leave

• ???? How does Finalis work?

We are a fully-remote company with Finalists distributed between the time zones of Eastern Standard Time and Eastern European Time. You are expected to be available during customary U.S. business hours.

Although we dont have an official physical place to work, we promote gathering with your team or other colleagues whenever possible.

• ???? Why work with Finalis ?

We are a fast-paced startup that 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 core values :

Deliver with Integrity

Dream Boldly

Empower through Leadership

Value Learning

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.