Delivery Analyst

🚀 What does Finalis 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. Finalis provides additional leverage to securities brokers with the Finalis Platform, 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. Join us in disrupting the securities industry, for good. 🌍 How does Finalis work? - We are a fully-remote company with Finalists distributed between the time zones of Pacific Standard Time and Eastern European Time . - If you’re located outside this time zone range, depending on the needs of your team, you may be requested to be available during specific hours. - Although we don’t have an official physical place to work, we promote gathering with your team or other colleagues whenever possible. ✨ What will you be doing? - Review of the written communication to ensure that our clients are compliant with FINRA requirements and to prevent any possible non-compliant actions. - Review user transaction documents within the guidelines established by supervising attorneys and compliance officers and provide support with legal and compliance issues - Assist in conducting compliance Due Diligence- and KYC/AML- related tasks - Review marketing materials prepared by our customers and/or their clients to make sure such materials follow Finalis’ communications guidelines. - 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. - Be a key point of contact for users on legal- and compliance-related materials and issues - Maintain a user knowledge base of common legal and compliance questions and responses - 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 - Own and manage weekend queue coverage, ensuring timely processing of standard workflows and progression of requests - Successfully pass the FINRA SIE + S82 + S24 exams within the first year of joining Finalis. - Maintain the Objectives and Key Results (OKRs) for the Execute Operations 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 2+ 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 r...