Sr. Compliance and Supervision Officer

📋 Description

• • Finalis is at the forefront of revolutionizing the investment banking landscape by building the world's largest dealmaking platform. We empower securities brokers to operate legally and compliantly by providing a white-labeled regulatory affiliation and comprehensive compliance back-office solutions. Our platform supports a diverse array of private market transactions, including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors. Beyond regulatory support, the Finalis Platform offers a streamlined deal management solution and a dynamic Marketplace designed to foster collaboration and knowledge sharing among brokers.
• • As a Sr. Compliance and Supervision Officer, you will be a pivotal regulatory leader within both Finalis Consulting LLC and Finalis Securities LLC. This role is designed for an experienced professional who will serve as the primary escalation point for the Delivery team, offering expert regulatory judgment, rigorous supervisory oversight, and hands-on support for complex and high-risk compliance and transactional matters. Your deep expertise in broker-dealer operations, coupled with a commanding understanding of FINRA and SEC regulations, will be crucial in translating intricate regulatory requirements into practical, defensible operational strategies. We are seeking an individual who possesses both a strategic vision for regulatory integrity and a proactive, execution-oriented mindset, ensuring that our business operations not only comply with all regulations but also continue to thrive and facilitate seamless transaction execution.
• • **REGULATORY ESCALATION & OVERSIGHT**
• • Act as the central point of contact for all escalated compliance and supervisory issues originating from the Delivery team, providing immediate and expert guidance.
• • Conduct thorough assessments of regulatory risks associated with escalated matters, delivering clear, actionable recommendations and driving them to timely and effective resolution.
• • Play a key role in managing regulatory inquiries, examinations, and audits, which includes meticulously reviewing submitted responses and coordinating efforts across various internal departments to ensure a unified and compliant approach.
• • Offer definitive interpretations of FINRA and SEC rules, ensuring their consistent and accurate application across all supervisory functions.
• • Maintain impeccable documentation standards for all compliance activities, ensuring defensibility and strict adherence to established internal supervisory controls.
• • Proactively identify potential regulatory gaps or weaknesses within our existing frameworks and implement robust corrective or preventive measures to mitigate future risks.
• • **COMPLIANCE PROGRAM SUPPORT**
• • Serve as a critical stakeholder in the annual Rule 3120 compliance reviews and testing processes, contributing to the integrity and effectiveness of our compliance program.
• • Diligently review all advertising and marketing materials to ensure they meet stringent regulatory compliance standards before dissemination.
• • Provide valuable insights and recommendations to the broader Compliance team to continuously enhance our Written Supervisory Procedures (WSPs), ensuring they remain current and effective.
• • Assist in the coordination and execution of the annual compliance meeting and facilitate the completion of all required regulatory attestations.
• • Support the efficient and compliant onboarding of newly registered representatives through the FINRA Gateway system, ensuring all regulatory requirements are met.
• • Prepare comprehensive quarterly and periodic compliance reports, summarizing key activities, findings, and recommendations for senior management.
• • Actively monitor evolving regulatory landscapes, identifying emerging trends and implementing necessary updates to policies and procedures to maintain proactive compliance.
• • Contribute to the strategic development and ongoing enhancement of compliance-related systems and technological tools, improving efficiency and effectiveness.
• • **SUPERVISORY & TRANSACTION SUPPORT (FINALIS SECURITIES LLC)**
• • Provide essential Series 24 supervisory oversight and expert guidance to the broker-dealer operations team, ensuring adherence to all regulatory mandates.
• • Offer dedicated support for the supervision of capital raise and M&A transactions, meticulously verifying regulatory compliance and the adequacy of all supporting documentation.
• • Conduct thorough reviews and provide necessary approvals for all activities that require principal oversight, ensuring they align with regulatory expectations.
• • Collaborate closely with the Legal and Compliance departments to proactively address regulatory risks and manage sensitive internal matters.
• • Act as a key stakeholder in the continuous strengthening of our supervisory frameworks, policies, and internal controls, driving best practices.
• • Contribute significantly to the development and refinement of supervisory procedures, working in tandem with Compliance, Product, and Engineering teams to leverage technology for enhanced supervisory capabilities.
• • This role requires a proactive individual who can navigate a fast-paced, highly regulated environment with agility and precision. You will be instrumental in upholding the integrity of our operations while enabling business growth and innovation. Your ability to balance strategic thinking with meticulous execution will be key to your success and the success of Finalis.