Junior Compliance and Supervision Officer
Finalis
full-time
Posted on:
Location Type: Remote
Location: United States
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Job Level
About the role
- 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.
- 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.
- 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.
Requirements
- 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.
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 researchcompliance policiesrisk managementoperational efficiencyStandard Operating Procedures (SOPs)version controldocumentation standardspolicy interpretationfinancial services regulatory environmentsbroker-dealer compliance
Soft Skills
analytical skillscommunicationcollaborationproblem-solvingattention to detailorganizational skillsguidanceadaptabilitystakeholder managementcritical thinking