Delivery Analyst

📋 Description

• • As a Delivery Analyst at Finalis, you will play a pivotal role in ensuring the legal and regulatory compliance of our clients within the securities brokerage landscape. This position is crucial for maintaining the integrity of our platform, which empowers dealmakers across various private market transactions, including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors.
• • Your primary responsibility will involve meticulously reviewing written communications from our clients to guarantee adherence to FINRA requirements and to proactively identify and mitigate any potential non-compliant actions. This requires a keen eye for detail and a thorough understanding of regulatory frameworks.
• • You will be tasked with examining user transaction documents, operating within the established guidelines set by supervising attorneys and compliance officers. This includes providing essential support on legal and compliance matters, acting as a critical link between our clients and our internal legal and compliance teams.
• • A significant part of your role will be assisting in conducting Due Diligence, Know Your Customer (KYC), and Anti-Money Laundering (AML) related tasks. This involves rigorous investigation and verification processes to ensure client legitimacy and regulatory adherence.
• • You will also review marketing materials prepared by our customers and their clients, ensuring that all content aligns with Finalis’ communication guidelines and regulatory standards. This ensures that our clients present themselves professionally and compliantly to their own stakeholders.
• • Supporting our account management teams will be a key function. You will provide expertise in structuring compliance, legal, process, or product solutions to address user issues and customer experience pain points that have legal or compliance implications.
• • You will serve as a key point of contact for users, offering guidance and support on legal and compliance-related materials and issues. This requires excellent interpersonal and communication skills, as well as a deep understanding of the services Finalis provides.
• • To facilitate efficient support, you will maintain and contribute to a user knowledge base, documenting common legal and compliance questions and their corresponding approved responses. This ensures consistency and speed in addressing recurring queries.
• • You will assist in researching and responding to comments and inquiries received from regulatory bodies such as FINRA, the SEC, and applicable state and foreign securities regulators. This requires a proactive approach to regulatory engagement and a commitment to accurate and timely responses.
• • A vital aspect of your role will be supporting the digital transformation of legal and compliance functions by leveraging our technology stack. You will contribute to enhancing Finalis’ product offerings, aiming to streamline legal and compliance processes and significantly improve the overall customer experience.
• • You will provide valuable feedback on ways to improve our operational and tech-enabled Execute systems for legal and compliance operations. Your insights will directly influence the development and efficiency of our internal processes.
• • A critical objective for this role is successfully passing the FINRA SIE, S82, and S24 exams within your first year of employment. Finalis is committed to your professional development and will support you in achieving these essential certifications.
• • You will be responsible for maintaining the Objectives and Key Results (OKRs) for the Execute Operations Team, ensuring alignment with broader company goals and contributing to measurable success.
• • Your exceptional English communication skills will be employed daily, both verbally and electronically, in all interactions.
• • You will consistently demonstrate accountability, ethics, and integrity in carrying out your day-to-day duties, upholding the high standards expected at Finalis.
• • You will work closely alongside Finalis attorneys and compliance officers as needed, collaborating on complex issues and contributing to a cohesive compliance strategy.
• • This role offers a unique opportunity to be at the forefront of regulatory technology and to make a tangible impact on the securities industry by ensuring compliant and efficient dealmaking for our clients.