Compliance-Legal Operations Analyst

Summary

Join Finalis and contribute to a dynamic team focused on legal and compliance operations. You will review user transactions, conduct due diligence, review marketing materials, and support account management teams with compliance solutions. Responsibilities include maintaining a knowledge base, responding to regulatory inquiries, and supporting digital transformation initiatives. This role requires a law degree or related field, 2+ years of experience in corporate law or compliance, and exceptional communication and organizational skills. Finalis offers a fully remote work environment, competitive salary, generous paid time off, and professional development opportunities.

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
• Can 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
• Successfully pass the FINRA SIE + S82 + S24 exams within the first year of joining Finalis
• Maintain the Objectives and Key Results (OKRs) for the Execute Operations Team
• Employ your English communication skills by communicating verbally and electronically
• Demonstrate accountability, ethics, and integrity in carrying out your day-to-day duties
• Work alongside Finalis attorneys and compliance officers as needed

Preferred Qualifications

• Have demonstrated experience in U.S. compliance
• Have demonstrated experience with digital transformation processes
• Availability to work on Pacific Standard Time (PST)

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
• Diverse Culture & Inclusive environment