Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.
What about your team?The Quality & Risk Lead plays a critical leadership role in managing Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team. Reporting to the Chief Compliance Officer, this managerial role builds and leads the processes that test and continuously monitor whether the firm’s compliance controls are working as designed, coordinates with the Risk Committee, and oversees vendor, technology, and testing programs that support the broader Compliance Program. The Quality & Risk Lead is responsible for the team’s day-to-day workload, quality of output, and professional development.
What will you be doing?Quality & Audit OversightSupport the firm’s quality/audit function end-to-end, including sample review of escalation results and metrics reporting.
Oversee continuous monitoring programs to ensure supervisory controls are functioning as designed.
Support Rule 3120 review activities and coordinate findings with the CCO.
Support the Risk Management function and represent Quality & Risk at the Risk Committee.
Own issue-escalation processes, driving timely resolution across teams.
Conduct root-cause analysis on escalation results and recommend remediation actions.
Direct tech-testing initiatives and coordinate technology-related risk programs.
Oversee vendor oversight activities, ensuring third-party providers meet the firm’s compliance standards.
Oversee cyber testing efforts in coordination with the firm’s information-security stakeholders.
Stay apprised of new threats and make cybersecurity-related recommendations in a rapidly changing technology landscape.
Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development. This position will serve as the initial hire for this department, and it is anticipated that the team will grow as the program develops.
Set performance goals, provide coaching, and build a culture of accountability within the team.
You have a Bachelor’s degree in business, finance, or a related field.
You have 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment.
You have prior experience managing or leading a team.
You have a strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices.
You have excellent judgment, communication, and stakeholder-management skills
You have experience with vendor oversight, technology risk, or cyber testing programs.
You have held a FINRA Series 24 or Series 99 registration, or are willing to obtain these registrations within 6 months of hire.
100% Remote work
Generous Paid Time Off
Benefits Package
Paid Family Leave
Diverse and inclusive culture
Skills Required
- Bachelor's degree in business, finance, or a related field
- 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment
- Prior experience managing or leading a team
- Strong understanding of FINRA rules, including Rule 3120, risk management frameworks, and quality-assurance practices
- Excellent judgment, communication, and stakeholder-management skills
- Experience with vendor oversight, technology risk, or cyber testing programs
- Held a FINRA Series 24 or Series 99 registration, or willingness to obtain one within six months of hire
What We 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. At the same time, Finalis provides additional leverage to securities brokers with the Finalis Hub, 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.
