Compliance Consultant and Supervisory Specialist, Finalis

• Bachelor's degree in finance, business, or related field
• FINRA Series 24, Series 79, Series 82, and Series 63 licenses
• Certified Anti-Money Laundering Specialist (CAMS) certification or equivalent AML certification
• Entrepreneurial spirit and a business disrupter mindset, with a track record of innovative problem-solving and a passion for driving change and improvement
• Minimum of 10 years of experience in FINRA Broker-Dealer compliance
• Strong understanding of FINRA and SEC rules and regulations
• Excellent written and verbal communication skills
• Detail-oriented with exceptional organizational skills
• Ability to work independently and in a team environment
• Familiarity with the FINRA Gateway system
• You have exceptional written and spoken English
• You have Google Workspace experience
• You have excellent communication skills
• You have strong organizational skills
• You can handle confidential information
• You have the ability to work swiftly with a high sense of urgency and be comfortable with shifting priorities and deadlines
• You are a self-starter, quick learner and highly organized with attention to detail
• You have the ability to follow up; know what's going on at all times and respond quickly
• You are flexible, patient, persistent and have a team spirit attitude
• Work during office hours in the Pacific Time Zone (GMT -7)

Desirable

• As a Compliance Consultant and Supervisory Specialist, you will be pivotal in ensuring compliance with regulatory requirements and supervisory oversight for our broker-dealer consulting clients
• You will be responsible for various consulting and supervisory tasks, including conducting audits, overseeing advertising and marketing reviews, managing onboarding processes, and providing Series 24 support to the broker dealer's operation team
• Compliance Consulting Services (Finalis Consulting LLC):
• Conduct 3120 audits to assess compliance with FINRA rules and regulations
• Perform anti-money laundering audits and provide recommendations for improvements
• Review advertising and marketing materials for compliance with industry guidelines
• Assist in onboarding registered representatives onto the FINRA Gateway system
• Maintain the WSPs for consulting clients
• Coordinate and facilitate annual compliance meetings
• Prepare quarterly attestations and reports for regulatory compliance
• Manage regulator inquiries and audits, including responding to requests and ensuring timely resolution
• Stay up-to-date with regulatory changes and industry best practices
• Participate in the development and implementation of software solutions for the consulting offering
• Supervisory Support (Finalis Securities LLC):
• Provide Series 24 support to the broker-dealer's operation team, including training and guidance
• Assist in conducting deal supervision for all capital raise and M&A transactions conducted at the firm while providing adequate documentation
• Collaborate with compliance officers and legal counsel to address regulatory concerns and internal escalations
• Participate in developing and implementing supervisory policies and procedures along with guidance to software development