Execute Supervisory Analyst

✨ What will you be doing?

• Primary duties would include: 

  • Review of the written communication to assure that our clients are compliant with FINRA requirements and to prevent any possible uncompliant actions. 

  • Review of the brokerage account statements and maintenance of each client’s trading restricted stock list

  • Drive process and system implementations to automate/streamline the capture of required brokerage statements and uncompliant emails.

• Possible additional tasks: deal superversion tasks (review transactions agreements, marketing materials, KYC forms, conduct due diligence/background checks on transaction parties)

• 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 as it relates to primary duties. 

• 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 exams within the first 18 months of joining Finalis. Bonus: Taking the S24 exam within the 2nd year. 

• Maintain the Objectives and Key Results (OKRs) for the Execute 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

💬 Who are we looking for 

• You have 1+ years of demonstrated experience in compliance-related roles. 

• You have exceptional written and spoken English

• You have excellent communication skills 

• You have strong organizational skills 

• You can handle confidential information

• You have Google workspace experience

• You are a systems thinker and evaluate opportunities to perform the same task more efficiently

• You are able to work swiftly with urgency and be comfortable with shifting priorities and deadlines

• You are a self-starter, quick learner, detailed, able to work independently and highly organized 

• You are able to follow up, know what's going on at all times and respond quickly

• You are flexible, patient, persistent and have a team spirit attitude

Bonus Track!

• You have demonstrated experience in U.S. compliance

• You have demonstrated experience with digital transformation processes

• Availability to work on Eastern Standard Time (EST)

🌟 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)

• 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

🌈 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