About the job
Finalis is creating the world's most extensive investment banking platform.
What does Finalis do?
Finalis stands at the forefront of the securities brokerage sector, ensuring legal and compliant operations. The firm offers a white-labeled regulatory affiliation and compliance back-office solution, facilitating various private market transactions, including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors.
The Finalis platform empowers securities brokers with an efficient deal management solution, alongside a marketplace that fosters connections and insights among brokers.
Since its inception in 2020, the firm, based in San Francisco and New York City, is on a mission to revolutionize dealmaking by constructing the largest platform of its kind.
Join us in our commitment to transforming the securities industry for the better.
How does Finalis operate?
We are fully remote, with team members spanning the Eastern Standard Time to Eastern European Time zones.
If you reside outside of this range, you may need to adjust your availability based on team requirements.
Although we lack a physical office, we encourage team gatherings whenever feasible.
What will your team look like?
As a Junior Compliance Officer, you will assist in the creation, improvement, and execution of policies and procedures throughout the organization. This role is ideal for a meticulous professional eager to develop expertise in regulatory compliance while making significant contributions to operational excellence.
Your focus will be on translating regulatory requirements and business strategies into well-structured policies that not only mitigate risks but also enhance customer experience, profitability, and scalability. You will be instrumental in ensuring that regulatory obligations align with internal documentation, product functionalities, and operational workflows.