Deputy CCO, Finalis
Securities brokerage platform
Job no longer available
Securities brokerage platform
101-200 employees
Job no longer available
101-200 employees
Company mission
To build the world’s largest private securities brokerage platform.
Role
Who you are
- This role is designed for a detail-oriented professional who is eager to build expertise in regulatory compliance while contributing meaningfully to operational excellence
- Bachelor’s degree in Finance, Business, Law, or a related field
- 3-5 years of experience in compliance, risk, regulatory research, or a related function (broker-dealer experience preferred but not required)
- Strong research and analytical skills
- Understanding of financial services regulatory environments (FINRA/SEC knowledge is a plus)
- Familiarity with compliance documentation such as WSPs and SOPs is preferred
- Highly detail-oriented with strong organizational skills
- Strong written communication skills, particularly in drafting structured documentation
- Able to synthesize regulatory guidance into clear, practical language
- Collaborative and comfortable working cross-functionally
- Proactive, curious, and eager to learn
- Able to manage multiple priorities in a structured and disciplined manner
- Proficient in Google Workspace and documentation management tools
- Available to work during Pacific Time Zone business hours (GMT -7)
What the job involves
- The Junior Compliance Officer will support the development, enhancement, and implementation of policies and procedures across the organization
- The position will focus on translating regulatory requirements and business strategy into structured policies that not only mitigate risk, but also support customer experience, profitability, and scalability
- The Junior Compliance Officer will play a key role in maintaining alignment between regulatory obligations, internal documentation, product functionality, and operational workflows
- Support the drafting, review, and maintenance of internal compliance policies
- Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements and that policies reference applicable securities (FINRA, SEC, etc.) rules, regulatory notices and acts
- Assist in designing policies that balance risk management with operational efficiency and customer experience
- Contribute to a comprehensive policy framework that supports sustainable growth and scalability
- Maintain version control and documentation standards for all policy materials
- Translate approved policies into actionable procedures and operational guidelines
- Support the creation and ongoing updates of Standard Operating Procedures (SOPs)
- Ensure internal documentation, including WSPs and knowledge base materials, remains consistent and up to date
- Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates
- Liaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible and effectively implemented
- Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies
- Support internal stakeholders by providing guidance on policy interpretation and procedural application
- Assist in preparing materials and documentation needed for internal reviews or regulatory examinations
- Generally support the senior leaders within the Compliance in the daily administration of the firm’s Compliance Program
Our take
Trillions of dollars are exchanged through M&A transactions. While the playbook is known for the lawyers and bankers involved, their workflow continues to be anchored in legacy systems like email and siloed spreadsheets hampering compliance and efficiency.
Finalis upends this market with an integrated private securities brokerage technology platform. The platform’s central offering is a hub where banks can affiliate their FINRA licenses, dramatically reducing compliance headaches. But it wants to go much further than that with a product suite automating much of the deal process. That means further features like deal rooms and prioritised collaboration opportunities.
While many of these transactions are ‘bread and butter’, stakeholders are reticent to change partially due to the billions of dollars at stake on a deal. However, Finalis’ team, with deep sector expertise and a commitment to the highest standards, stand a good chance of overcoming the inertia in the industry.
Steph
Company Specialist at Welcome to the Jungle
Insights
158% employee growth in 12 months
Company
Funding (2 rounds)
Jul 2022
$10.7m
SEED
Jul 2021
$10.7m
SEED
Total funding: $21.4m
Company benefits
- Flexible working hours
- 100% Remote work
- Generous paid vacation
- Personal growth budget
- Inclusive and diverse environment to develop your skills at its maximum potential
- Focus on your career growth
- Enriching learning and development opportunities
Company HQ
SoMa, San Francisco, CA
Leadership
Federico Baradello
(Founder & CEO)Attended Princeton University and Harvard University. J.D in Berkeley Law. London School of Economics PhD. Trained at Kirkland & Ellis.
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