Sr. Compliance and Supervision Officer

Finalis is building the largest investment banking platform in the world. The company delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking. Join us in disrupting the securities industry, for good.

Requirements

• Bachelor's 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.

Benefits

• 100% Remote work (Work from wherever you want!)
• Competitive USD salary
• High-Speed Internet expenses allowance
• Generous Paid time-off (Vacation Time!)
• Additional 17 Flex Days (to use in national holidays or personal matters)
• People Team Partner (to target your roadblocks and customize an action plan for your career path)
• Buddy Program
• Virtual After-Office Activities
• Diverse Culture & Inclusive environment