Compliance and Supervision Junior Officer

📋 Description

• • Finalis Inc. is revolutionizing the investment banking landscape by building the world's largest investment banking platform. We empower securities brokers to operate legally and compliantly by providing a white-labeled regulatory affiliation and comprehensive compliance back-office solution. Our platform supports a diverse array of private market dealmaking activities, including Mergers & Acquisitions (M&A), capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors. Beyond regulatory support, the Finalis Platform offers securities brokers enhanced leverage through a streamlined deal management solution and a dynamic Marketplace designed to foster connections, insights, and collaborations among brokers.
• • As a fully remote company, Finalis embraces a distributed workforce, with our 'Finalists' located across time zones ranging from Eastern Standard Time (EST) to Eastern European Time (EET). While we champion flexibility, team needs may occasionally require availability during specific hours within this range. We believe in fostering connection and collaboration, encouraging team gatherings and informal meetups whenever feasible, even without a traditional office setting.
• • The Compliance and Supervision Junior Officer role is integral to our mission. You will be instrumental in developing, refining, and implementing robust policies and procedures across the entire organization. This position is ideally suited for a meticulous and driven individual eager to cultivate deep expertise in regulatory compliance while making a tangible contribution to our operational excellence. Your primary focus will be on translating complex regulatory mandates and strategic business objectives into clear, structured policies. These policies will not only serve to mitigate risk but will also be designed to enhance customer experience, drive profitability, and ensure scalability as we continue our rapid growth.
• • You will play a pivotal role in ensuring seamless alignment between our regulatory obligations, internal documentation, product development, and day-to-day operational workflows. This cross-functional role requires a keen eye for detail and a proactive approach to problem-solving.
• • Key Responsibilities:
• • Policy Development & Governance:
• • Actively participate in the drafting, thorough review, and ongoing maintenance of all internal compliance policies, ensuring they are current, comprehensive, and effectively communicated.
• • Conduct in-depth regulatory research to guarantee that our policies accurately reflect the latest FINRA and SEC requirements, meticulously referencing applicable securities rules, regulatory notices, and relevant legislation.
• • Assist in the strategic design of policies that strike an optimal balance between rigorous risk management, streamlined operational efficiency, and a superior customer experience.
• • Contribute to the development and upkeep of a comprehensive policy framework that underpins our sustainable growth trajectory and ensures scalability for future expansion.
• • Meticulously maintain version control and adhere to strict documentation standards for all policy-related materials, ensuring clarity and accessibility.
• • Procedure & SOP Alignment:
• • Skillfully translate approved policies into clear, actionable procedures and practical operational guidelines that can be easily understood and implemented by all relevant teams.
• • Support the creation and continuous updating of Standard Operating Procedures (SOPs), ensuring they remain relevant and effective.
• • Ensure all internal documentation, including Written Supervisory Procedures (WSPs) and knowledge base materials, are consistently updated and accurately reflect current practices and policies.
• • Proactively identify any gaps or inconsistencies between established policies and actual operational practices, recommending and implementing corrective updates to maintain compliance.
• • Cross-Functional Collaboration:
• • Serve as a key liaison between the Compliance team and other internal departments such as Product, Operations, and Delivery, ensuring policies are operationally feasible and seamlessly integrated.
• • Partner closely with Product teams to ensure that system functionalities are fully aligned with all regulatory requirements and internal policy directives.
• • Provide essential support to internal stakeholders by offering clear guidance on policy interpretation and the practical application of procedures.
• • Assist in the preparation of critical materials and documentation required for internal reviews and potential regulatory examinations, ensuring readiness and accuracy.
• • Generally provide comprehensive support to senior leadership within the Compliance department in the daily administration and oversight of the firm’s overarching Compliance Program.
• • This role offers an exceptional opportunity to grow within a dynamic and rapidly evolving fintech environment, contributing directly to the integrity and success of Finalis's innovative platform. You will be at the forefront of ensuring regulatory adherence in a fast-paced, entrepreneurial setting.