Sr. Compliance and Supervision Officer

Finalis is building thelargest investment banking platform in the world. 

🚀 What does Finalis do?

Finalis is the 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.

Finalis provides additional leverage to securities brokers with the Finalis Platform, which delivers a hassle-free deal management solution and a Marketplace that connects brokers with one another to gain insights and explore collaborations.

Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

Join us in disrupting the securities industry, for good.

🌍 How does Finalis work?

• We are a fully-remote company with Finalists distributed between the time zones of Eastern Standard Time and Eastern European Time .

• If you’re located outside this time zone range, depending on the needs of your team, you may be requested to be available during specific hours.

• Although we don’t have an official physical place to work, we promote gathering with your team or other colleagues whenever possible.

🤝 What about your team?

The Senior Compliance Consultant & Supervisory Specialist will serve as a key regulatory leader across both Finalis Consulting LLC and Finalis Securities LLC. This individual will act as the primary escalation point of contact for the Delivery team, providing expert regulatory judgment, supervisory oversight, and hands-on execution support in complex and high-risk matters.

This role requires deep broker-dealer expertise, strong command of FINRA and SEC regulations, and the ability to translate regulatory requirements into practical, defensible operational decisions. The ideal candidate brings both strategic perspective and a strong execution mindset, ensuring regulatory integrity while enabling business continuity and transaction execution.

✨ What will you be doing?

Key Responsibilities:

Regulatory Escalation & Oversight

• Serve as the primary escalation point for complex compliance and supervisory matters arising from the Delivery team.

• Assess regulatory risk, provide clear guidance, and drive timely resolution of escalated issues.

• Participate in the handling of regulatory inquiries, examinations, and audits, including reviewing responses and helping coordinate cross-functional stakeholders.

• Provide expert interpretation of FINRA and SEC rules and ensure consistent supervisory application.

• Ensure proper documentation, defensibility, and alignment with internal supervisory controls.

• Identify regulatory gaps and implement corrective or preventive measures where necessary.

Compliance Program Support

• Key stakeholder in Rule 3120 annual compliance reviews and testing.

• Review advertising and marketing materials for regulatory compliance.

• Provide insights to help the Compliance team enhance Written Supervisory Procedures (WSPs).

• Help coordinate the annual compliance meeting and required regulatory attestations.

• Support onboarding of registered representatives through the FINRA Gateway system.

• Prepare quarterly and periodic compliance reports.

• Help monitor regulatory developments and implement necessary policy or procedural updates.

• Contribute to the development and enhancement of compliance-related systems and tools.

Supervisory & Transaction Support (Finalis Securities LLC)

• Provide Series 24 supervisory oversight and guidance to the broker-dealer operations team.

• Support supervision of capital raise and M&A transactions, ensuring regulatory compliance and adequate documentation.

• Review and approve activities requiring principal oversight.

• Partner with Legal and Compliance to address regulatory risks and internal matters.

• Key stakeholder in strengthening supervisory frameworks, policies, and controls.

• Contribute to the development and refinement of supervisory procedures and related technology enablement in coordination with Compliance, Product, and Engineering.

Qualifications

• 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.

Professional Profile

• Exercises sound regulatory judgment in complex or high-risk situations.

• Operates with a strong sense of ownership and accountability.

• Execution-oriented, with the ability to independently drive matters to resolution.

• Highly detail-oriented with exceptional organizational discipline.

• 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.

• Available to work during Pacific Time Zone business hours (GMT -7).

🌟 What do we offer?

• 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)

• 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

🌈 Why work with Finalis?

We are a fast-paced startup which will enable you to develop skills quickly and work in an entrepreneurial culture where pushing limits and taking risks is everyday business. As we have Finalists from different countries and cultures, we encourage our team members to develop their soft skills, boosting their ability to adapt themselves to different backgrounds.

Finalis’ values:

• Deliver with Integrity

• Dream Boldly

• Empower through Leadership

• Value Learning