Compliance and Supervision Junior Officer

Finalis is building the largest investment banking platform in the world. 

🚀 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 Eastern 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 about your team?

The Junior Compliance Officer will support the development, enhancement, and implementation of policies and procedures across the organization. This role is designed for a detail-oriented professional who is eager to build expertise in regulatory compliance while contributing meaningfully to operational excellence.

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.

✨ What will you be doing?

Key Responsibilities:

Policy Development & Governance

• Support the drafting, review, and maintenance of internal compliance policies.

• Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements.

• 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.

• Procedure & SOP Alignment

• 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.

• Cross-Functional Collaboration

• 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.

Qualifications

• 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.

Professional Profile

• Highly detail-oriented with strong organizational skills.