Sr. Compliance and Supervision Officer

Finalis is a leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking, including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors.

Requirements

• Bachelor’s degree in Finance, Business, or a related field.
• Active FINRA Series 24 license (required).
• Series 79, 82, and 63 licenses strongly preferred.
• CAMS or equivalent AML certification preferred.
• Minimum of 10 years of experience in broker-dealer compliance and supervision.
• Extensive knowledge of FINRA and SEC regulatory frameworks.
• Demonstrated experience participating in regulatory inquiries or examinations.
• Experience supporting capital markets transactions within a broker-dealer environment.
• Strong written and verbal communication skills.
• Comfortable working with confidential and sensitive information.
• Able to manage shifting priorities in a fast-paced, regulated environment.
• Proficient with Google Workspace and regulatory systems such as FINRA Gateway.

Benefits

• 100% Remote work
• Competitive USD salary
• High-Speed Internet expenses allowance
• Generous Paid time-off
• Additional 17 Flex Days
• People Team Partner
• Buddy Program
• Virtual After-Office Activities
• Diverse Culture & Inclusive environment

Originally posted on Himalayas