Quality & Risk Manager, Finalis
$90-120k
Securities brokerage platform
Be an early applicant
Securities brokerage platform
101-200 employees
Be an early applicant
$90-120k
101-200 employees
Company mission
To build the world’s largest private securities brokerage platform.
Role
Who you are
- You have a Bachelor’s degree in business, finance, or a related field
- You have 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment
- You have prior experience managing or leading a team
- You have a strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices
- You have excellent judgment, communication, and stakeholder-management skills
- You have experience with vendor oversight, technology risk, or cyber testing programs
- You have held a FINRA Series 24 or Series 99 registration, or are willing to obtain these registrations within 6 months of hire
What the job involves
- The Quality & Risk Lead plays a critical leadership role in managing Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team
- Reporting to the Chief Compliance Officer, this managerial role builds and leads the processes that test and continuously monitor whether the firm’s compliance controls are working as designed, coordinates with the Risk Committee, and oversees vendor, technology, and testing programs that support the broader Compliance Program
- The Quality & Risk Lead is responsible for the team’s day-to-day workload, quality of output, and professional development
- 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 are functioning as designed
- Support Rule 3120 review activities and coordinate findings with the CCO
- Support the Risk Management function and represent Quality & Risk at the Risk Committee
- Own issue-escalation processes, driving timely resolution across teams
- Conduct root-cause analysis on escalation results and recommend remediation actions
- Direct tech-testing initiatives and coordinate technology-related risk programs
- Oversee vendor oversight activities, ensuring third-party providers meet the firm’s compliance standards
- Oversee cyber testing efforts in coordination with the firm’s information-security stakeholders
- Stay apprised of new threats and make cybersecurity-related recommendations in a rapidly changing technology landscape
- Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development. This position will serve as the initial hire for this department, and it is anticipated that the team will grow as the program develops
- Set performance goals, provide coaching, and build a culture of accountability within the team
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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