Sr. Compliance and Supervision Officer
FinalisUnited States
Posted February 24, 2026
Full Time
About the Company
Finalis is a leading capital markets platform that accelerates dealmaking through innovative technology. The company offers solutions like Execute for streamlined processes, Connect for access to a global network of professionals, and Payments for secure transactions. Finalis' Deal Engine automates the entire deal lifecycle, resulting in substantial cost savings and unparalleled leverage for its partners.
Job Description
Finalis is a 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.
Requirements
- Bachelorās degree in Finance, Business, or a related field.
- Active FINRA Series 24 license (required).
- Series 79, 82, and 63 licenses strongly preferred.
- CAMS or equivalent AML certification preferred.
- Minimum of 10 years of experience in broker-dealer compliance and supervision.
- Extensive knowledge of FINRA and SEC regulatory frameworks.
- Demonstrated experience participating in regulatory inquiries or examinations.
- Experience supporting capital markets transactions within a broker-dealer environment.
- Strong written and verbal communication skills.
- Comfortable working with confidential and sensitive information.
- Able to manage shifting priorities in a fast-paced, regulated environment.
- Proficient with Google Workspace and regulatory systems such as FINRA Gateway.
Benefits
- 100% Remote work
- Competitive USD salary
- High-Speed Internet expenses allowance
- Generous Paid time-off
- Additional 17 Flex Days
- People Team Partner
- Buddy Program
- Virtual After-Office Activities
- Diverse Culture & Inclusive environment
