Compliance-Legal Operations Analyst

Summary

Join us in disrupting the securities industry, for good. Finalis is a fully-remote company that provides a white-labeled regulatory affiliation and compliance back-office solution to securities brokers. We are looking for a team member to review user transaction documents, assist with compliance Due Diligence and KYC/AML tasks, and support account management teams.

Requirements

• Hold a degree in law or in a related field
• Have 2+ years of demonstrated experience in corporate law or compliance-related roles
• Have exceptional written and spoken English
• Have excellent communication skills
• Have strong organizational skills
• Be able to handle confidential information
• Have Google workspace experience
• Be a systems thinker and evaluate opportunities to perform the same task more efficiently
• Be able to work swiftly with urgency and be comfortable with shifting priorities and deadlines
• Be a self-starter, quick learner, detailed, able to work independently and highly organized
• Be able to follow up, know what's going on at all times and respond quickly
• Be flexible, patient, persistent and have a team spirit attitude

Responsibilities

• Review user transaction documents within guidelines established by supervising attorneys and compliance officers and providing support with legal and compliance issues
• Assist in conducting compliance Due Diligence- and KYC/AML- related tasks
• Review marketing materials prepared by our customers and/or their clients to make sure such materials follow Finalis’ communications guidelines
• Support our account management teams with structuring compliance, legal, process or product solutions to legal- and compliance-related user issues or customer experience pain points
• Be a key point of contact for users on legal- and compliance-related materials and issues
• Maintain a user knowledge base of common legal and compliance questions and responses
• Assist in researching and responding to comments and/or inquiries received from FINRA, the SEC, and applicable state and foreign securities regulators
• Support the digital transformation of legal and compliance functions to our technology stack and contribute to enhance Finalis’ product in a way that streamline legal and compliance processes and that improves the customer’s experience
• Provide feedback on ways to improve the operational and tech-enabled Execute systems for legal and compliance operations

Benefits

• 100% Remote work (Work from wherever you want!)
• Competitive USD salary
• High-Speed Internet expenses allowance
• Generous Paid time-off (Vacation Time!)
• Additional 17 Flex Days (to use in 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