🚀 About Finalis
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.
✨ About the role
The Compliance Specialist supports Finalis’s investment banking and private markets business by reviewing and approving communications with the public and with institutions, and by surveilling the electronic communications and postings of our registered personnel. You will work directly with investment bankers, registered representatives and our marketing and business teams to make sure pitch materials, marketing content, social media posts, emails and messages meet FINRA and SEC requirements, and that every review, escalation and approval is documented.
We are looking for someone with a sharp eye for detail and sound judgment who is comfortable reading large volumes of communications, spotting what matters, and giving clear, practical feedback to the people behind them.
✍️ What you'll do
Communications Review and Approval
- Review and approve advertisements, sales literature, websites, social media content, presentations, private placement memoranda, newsletters, email campaigns and other communications with the public under FINRA Rules 2210 and 2212 through 2216 and related requirements.
- Evaluate content for fair and balanced presentation, substantiated claims, required disclosures, and performance and projection standards.
- Determine filing and pre-approval requirements and prepare communications filings
eComm Surveillance
- Review the electronic communications of registered personnel, including email, instant and text messaging, collaboration and chat platforms, and other approved channels, in line with FINRA Rule 3110(b)(4) and our written supervisory procedures.
- Review the social media and other business-related online postings of registered personnel for compliance with communications rules, outside business activity and other firm policies.
- Triage alerts from our surveillance tools, clear false positives, and escalate potential issues such as misleading statements, unapproved communications, off-channel activity, undisclosed outside activities, or customer complaints.
- Document each review, finding and resolution, and follow up with registered personnel until the matter is closed.
- Help tune surveillance lexicons, sampling methods and alert thresholds so reviews stay risk-based and effective.
- Prepare periodic surveillance reports and trend summaries for the CCO.
Supervision and Recordkeeping
- Maintain review logs, approvals and supporting documentation in line with books-and-records requirements, including SEC Rule 17a-4 and FINRA Rule 4511.
- Help confirm that registered personnel use only approved communication channels, and support related attestations and training.
- Help keep written supervisory procedures, review checklists and training materials current.
Banker and Business Partnership
- Serve as a day-to-day compliance resource for bankers and marketing staff on communications and social media questions.
- Translate regulatory requirements into clear, practical guidance while maintaining sound compliance judgment.
- Stay current on FINRA and SEC developments affecting communications and electronic communications supervision.
- Support general compliance work as assigned by the CCO, such as testing and regulatory inquiries.
🔎 Qualifications
- Minimum of 3 years of experience reviewing and/or principally approving marketing materials for a financial industry firm, preferably a broker-dealer.
- Working knowledge of FINRA and SEC communications rules and the fair, balanced and not misleading standard.
- Working knowledge of FINRA and SEC rules regarding testimonials, endorsements, rankings and awards
- Familiarity with the supervision of electronic communications and social media at a financial industry firm, and the ability to learn new surveillance tools quickly.
- Basic, general understanding of broker-dealer compliance, including supervision, recordkeeping and regulatory filings.
- Ability to work through a steady queue of reviews and alerts to deadline in a fast-paced environment.
- Excellent verbal communication skills and comfort giving direct feedback to investment bankers and other registered personnel.
- Discretion with confidential and sensitive information.
Bonus Track!
- You currently hold, or have previously held, a FINRA Series 24 (General Securities Principal) and/or Series 79 (Investment Banking Representative) license. Other registrations such as the Series 7 or 82 are also welcome.
- You have hands-on experience performing eComm or correspondence surveillance and working with surveillance, archiving or lexicon-based review tools.
- You have experience reviewing social media activity and off-channel communications for registered personnel.
- You have experience reviewing investment banking pitch books, marketing decks and deal announcements.
- You have experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC or another financial-services regulator.
🌟 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