Quality & Risk Manager

Job not on LinkedIn

🔥 19 hours ago

🇺🇸 United States – Remote

💵 $90k - $120k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🎲 Risk

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

💼 Consulting

📦 Logistics

📣 Marketing

Consulting • Logistics • Marketing

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. Additionally, Finalis provides leverage to securities brokers with the Finalis Hub, offering a hassle-free deal management solution and a Marketplace that connects brokers for insights and collaboration. Launched in 2020, this SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

📋 Description

• Support 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 function as designed • Support Rule 3120 review activities and coordinate findings with the Chief Compliance Officer • Support Risk Management and 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 ensure third-party providers meet compliance standards • Oversee cyber testing with information-security stakeholders • Monitor new threats and make cybersecurity recommendations • Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development • Set performance goals, provide coaching, and build team accountability • Report to the Chief Compliance Officer

🎯 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 • Knowledge of risk management frameworks and quality-assurance practices • 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 • Experience in technical scopes including E2E Audit, Quality Assurance, Risk Management, Tech-Testing Initiatives, Escalation Results, or Metrics Reporting

🏖️ Benefits

• 100% Remote work • Generous Paid Time Off • Benefits Package • Paid Family Leave • Diverse and inclusive culture