Senior Compliance and Supervision Officer
Finalis
full-time
Posted on:
Location Type: Remote
Location: United States
Visit company websiteExplore more
Job Level
About the role
- Serve as the primary escalation point for complex compliance and supervisory matters arising from the Delivery team.
- Assess regulatory risk, provide clear guidance, and drive timely resolution of escalated issues.
- Participate in the handling of regulatory inquiries, examinations, and audits, including reviewing responses and helping coordinate cross-functional stakeholders.
- Provide expert interpretation of FINRA and SEC rules and ensure consistent supervisory application.
- Ensure proper documentation, defensibility, and alignment with internal supervisory controls.
- Identify regulatory gaps and implement corrective or preventive measures where necessary.
- Key stakeholder in Rule 3120 annual compliance reviews and testing.
- Review advertising and marketing materials for regulatory compliance.
- Provide insights to help the Compliance team enhance Written Supervisory Procedures (WSPs).
- Help coordinate the annual compliance meeting and required regulatory attestations.
- Support onboarding of registered representatives through the FINRA Gateway system.
- Prepare quarterly and periodic compliance reports.
- Help monitor regulatory developments and implement necessary policy or procedural updates.
- Contribute to the development and enhancement of compliance-related systems and tools.
- Provide Series 24 supervisory oversight and guidance to the broker-dealer operations team.
- Support supervision of capital raise and M&A transactions, ensuring regulatory compliance and adequate documentation.
- Review and approve activities requiring principal oversight.
- Partner with Legal and Compliance to address regulatory risks and internal matters.
- Key stakeholder in strengthening supervisory frameworks, policies, and controls.
- Contribute to the development and refinement of supervisory procedures and related technology enablement in coordination with Compliance, Product, and Engineering.
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.
- 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.
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory compliancesupervisory oversightregulatory inquiriescapital markets transactionscompliance reportingrisk assessmentdocumentationregulatory gap analysissupervisory procedurescompliance systems development
Soft Skills
stakeholder coordinationguidanceproblem resolutioncommunicationcollaborationinsight generationorganizational skillsattention to detailleadershipanalytical thinking
Certifications
FINRA Series 24 licenseSeries 79 licenseSeries 82 licenseSeries 63 licenseCAMS certification