Chief Regulatory Officer

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November 4

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Finalis

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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.

51 - 200 employees

📋 Description

• Understand Finalis’ mission, values, target audience, market and user segments. • Drive compliance in support of Finalis’ Product, Go-to-Market and Finance strategies. • Execute a comprehensive compliance strategy that aligns with Finalis’ business goals. • Develop and lead a high-performing compliance team in a remote-first cross-cultural context, attracting and retaining top talent and providing professional development. • Provide regular reports to management and escalate material matters as appropriate. • Foster a team culture of innovation, encouraging experimentation and collaboration. • Deliver data-driven cost reductions and greater revenue, efficiencies and productivity. • Help systematize, centralize and coordinate user delivery through the Finalis platform. • Work with internal and external stakeholders to ensure that policies, procedures, controls and platform workflows are user-centered, “skate ahead” to anticipate and respond to user needs and pain points and comply with applicable laws and industry best practices. • Ensure that policies, procedures, controls and platform workflows balance a delightful user experience, platform scalability, help drive profitability and manage enterprise risk. • Tackle compliance-related escalations from users and internal stakeholders while increasingly reducing escalations through policies, processes, controls and automation. • Understand and anticipate market needs and enhance Finalis’ competitive positioning. • Help execute a product-driven “compliance roadmap” to automate compliance workflows to include regulatory workflows that (a) deliver value to our users and regulators and (b) position Finalis as the leading industry Fintech platform and broker-dealer. • Understand software business needs and challenges and identify compliance innovation opportunities to include Artificial intelligence (AI) automation for compliance. • Identify challenges and opportunities in the regulatory environment and applicable trends and best practices to better leverage the Finalis platform to address regulatory needs. • Help drive “buy vs. build” vendor and product strategies and decision-making to meet and exceed regulatory requirements and deliver competitive differentiation. • Think “outside of the box” with compliance automation for a leading Fintech company. • Be the “face” of compliance with internal and external stakeholders and implement innovative and substantiated approaches to compliance decisions and strategies. • Manage interactions and relationships with regulators to include responding to inquiries, audits, findings and disclosures and determining applicable measures. • Manage all regulatory matters, examinations and inquiries across diverse areas to include investment banking, RIA, finance, technology, risk and operations. • Maintain a deep understanding of FINRA, SEC, IRS and U.S. state-level regulations. • Identify and develop training materials and programs designed to ensure a high level of awareness and adoption of applicable legal/regulatory requirements/expectations. • Coordinate with internal and external stakeholders with reviews of potential violations and assist with identifying root causes and implementing remediation plans. • Implement proactive defensive and offensive enterprise risk management.

🎯 Requirements

• 15+ years of compliance experience with an SEC-registered, FINRA-member broker-dealer • Knowledge of Federal and State laws for operating an SEC-registered and FINRA-member broker-dealer and a registered investment advisor • Demonstrated track record with leading teams, continuously seeking ways to enhance the customer experience, driving profitability and scalability and implementing solutions that balance operational efficiency with business growth • Proven ability to think strategically and propose innovative solutions to complex problems with creative, forward-thinking approaches, contributing to the disruption of traditional models • Maintain a proactive “can do” and “team player” attitude and be a self-starter who enjoys working in a fast-paced and evolving environment • Highly organized and capable of dealing with complex projects under tight deadlines • Capacity to anticipate challenges, identify opportunities and address issues before they arise • Excellent organizational and project management skills • Outstanding written and spoken communication abilities • Excellent teamwork, interpersonal and conflict resolution skills • Capable of interacting with varied internal and external stakeholders who are geographically dispersed, including Design, Product, Engineering, Legal, Marketing, Operations and Sales • Experience with cross-border, non-U.S. compliance and regulatory frameworks is preferred • Experience in securities litigation, enforcement and regulatory law is preferred • At least a Bachelor’s level degree; a law degree is a plus • Experience in capital markets is a plus • Familiarity with software development lifecycles is a plus • Legal research and writing skills and discovery experience are a plus • FINRA Licenses: • Series 7 (Required) • Series 24 (Required) • Series 63 (Required) • Series 79 (Nice to have) • Series 82 (Nice to have)

🏖️ Benefits

• 100% Remote work (Work from wherever you want!) • Competitive USD salary • Equity Compensation • High-Speed Internet expenses allowance • Generous Paid time-off (Vacation Time!) • Additional 17 Flex Days (to use for 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 • Benefits Package • Paid Family Leave