Quality & Risk Manager

🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $90k - $130k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🎲 Risk

👻 Ghost score 0%

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2020

💰 $10.7M Seed Round on 2022-06

Finalis is a company; the provided content is only website CSS, cookie-notification text and other frontend markup. There is no product, service, or industry information in the supplied text, so the company's business focus cannot be determined from this input.

📋 Description

• Manage Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team • Build and lead processes that test and continuously monitor compliance controls • Coordinate with the Risk Committee • Oversee vendor, technology, and testing programs supporting the Compliance Program • Manage the team’s day-to-day workload, quality of output, and professional development • Support the firm’s quality/audit function, including sample review of escalation results and metrics reporting • Oversee continuous monitoring programs to ensure supervisory controls function as designed • Support Rule 3120 review activities and coordinate findings with the CCO • Represent Quality & Risk at the Risk Committee • Own issue-escalation processes and drive timely resolution across teams • Conduct root-cause analysis on escalation results and recommend remediation actions • Direct technology-testing initiatives and coordinate technology-related risk programs • Oversee vendor oversight activities and third-party compliance standards • Oversee cyber testing with information-security stakeholders • Monitor new threats and make cybersecurity-related recommendations • Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development • Set performance goals, provide coaching, and build a culture of accountability

🎯 Requirements

• 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 • Understanding of 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 these registrations within 6 months of hire • Relevant FINRA registrations, including Series 7, 79, and/or 82 • Experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123 • Experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework • Familiarity with private funds, SPVs, secondary transactions, or other complex private market structures • Experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization

🏖️ Benefits

• 100% Remote work • Competitive USD salary • Generous Paid Time Off • Additional Flex Days • Benefits Package (Healthcare, Medical, Vision, Dental, 401k) • Paid Family Leave • Diverse and inclusive culture

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