Compliance

• Understand Finalis’ mission, values, target audience, market and user segments.
• Drive compliance in support of Finalis’ Product, Go-to-Market and Finance strategies.
• Execute a comprehensive compliance strategy that aligns with Finalis’ business goals.
• Develop and lead a high-performing compliance team in a remote-first cross-cultural context, attracting and retaining top talent and providing professional development.
• Provide regular reports to management and escalate material matters as appropriate.
• Foster a team culture of innovation, encouraging experimentation and collaboration.
• Deliver data-driven cost reductions and greater revenue, efficiencies and productivity.
• Help systematize, centralize and coordinate user delivery through the Finalis platform.
• Work with internal and external stakeholders to ensure that policies, procedures, controls and platform workflows are user-centered, “skate ahead” to anticipate and respond to user needs and pain points and comply with applicable laws and industry best practices.
• Ensure that policies, procedures, controls and platform workflows balance a delightful user experience, platform scalability, help drive profitability and manage enterprise risk.
• Tackle compliance-related escalations from users and internal stakeholders while increasingly reducing escalations through policies, processes, controls and automation.
• Understand and anticipate market needs and enhance Finalis’ competitive positioning.
• Help execute a product-driven “compliance roadmap” to automate compliance workflows to include regulatory workflows that (a) deliver value to our users and regulators and (b) position Finalis as the leading industry Fintech platform and broker-dealer.
• Understand software business needs and challenges and identify compliance innovation opportunities to include Artificial intelligence (AI) automation for compliance.
• Identify challenges and opportunities in the regulatory environment and applicable trends and best practices to better leverage the Finalis platform to address regulatory needs.
• Help drive “buy vs. build” vendor and product strategies and decision-making to meet and exceed regulatory requirements and deliver competitive differentiation.
• Think “outside of the box” with compliance automation for a leading Fintech company.
• Be the “face” of compliance with internal and external stakeholders and implement innovative and substantiated approaches to compliance decisions and strategies.
• Manage interactions and relationships with regulators to include responding to inquiries, audits, findings and disclosures and determining applicable measures.
• Manage all regulatory matters, examinations and inquiries across diverse areas to include investment banking, RIA, finance, technology, risk and operations.
• Maintain a deep understanding of FINRA, SEC, IRS and U.S. state-level regulations.
• Identify and develop training materials and programs designed to ensure a high level of awareness and adoption of applicable legal/regulatory requirements/expectations.
• Coordinate with internal and external stakeholders with reviews of potential violations and assist with identifying root causes and implementing remediation plans.
• Implement proactive defensive and offensive enterprise risk management.

Chief Regulatory Officer

Director, Privacy Compliance

Regulatory Compliance Officer – Clinical Trials

Manager, Regulatory Operations

Regulatory Intelligence Intern

Regional Compliance Officer