✨ About the role
The Quality & Risk Lead plays a critical leadership role in managing Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team. Reporting to the Chief Compliance Officer, this managerial role builds and leads the processes that test and continuously monitor whether the firm’s compliance controls are working as designed, coordinates with the Risk Committee, and oversees vendor, technology, and testing programs that support the broader Compliance Program. The Quality & Risk Lead is responsible for the team’s day-to-day workload, quality of output, and professional development.
✍️ What you'll do
Quality & Audit Oversight
- Support the firm’s quality / audit function end-to-end, including sample review of escalation results and metrics reporting.
- Oversee continuous monitoring programs to ensure supervisory controls are functioning as designed.
- Support Rule 3120 review activities and coordinate findings with the CCO.
Risk Management & Escalation
- Support the Risk Management function and represent Quality & Risk at the Risk Committee.
- Own issue-escalation processes, driving timely resolution across teams.
- Conduct root-cause analysis on escalation results and recommend remediation actions.
Technology, Vendor & Cyber Oversight
- Direct tech-testing initiatives and coordinate technology-related risk programs.
- Oversee vendor oversight activities, ensuring third-party providers meet the firm’s compliance standards.
- Oversee cyber testing efforts in coordination with the firm’s information-security stakeholders.
- Stay apprised of new threats and make cybersecurity-related recommendations in a rapidly changing technology landscape.
People Management
- Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development. This position will serve as the initial hire for this department, and it is anticipated that the team will grow as the program develops.
- Set performance goals, provide coaching, and build a culture of accountability within the team.
🔎 Qualifications
- You have a Bachelor’s degree in business, finance, or a related field.
- You have 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment.
- You have prior experience managing or leading a team.
- You have a strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices.
- You have excellent judgment, communication, and stakeholder-management skills
- You have experience with vendor oversight, technology risk, or cyber testing programs.
- You have held a FINRA Series 24 or Series 99 registration, or are willing to obtain these registrations within 6 months of hire.
Bonus Track!
- You currently hold, or have previously held, one or more relevant FINRA registrations, including the Series 7, 79, and/or 82.
- You have experience reviewing Regulation D offerings and FINRA Rules 5122 and 5123.
- You have experience working on M&A transactions and analyzing transactions under the federal M&A broker exemption framework.
- You have familiarity with private funds, SPVs, secondary transactions, or other complex private market structures.
- You have experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC, or another financial-services regulatory organization.
🌟 What we offer
- 100% Remote work
- Competitive USD salary
- Generous Paid Time Off
- Additional Flex Days
- Benefits Package (Healthcare, Medical, Vision, Dental, 401k)
- Paid Family Leave
- Diverse and inclusive culture