Broker-Dealer Compliance Analyst

WHAT DOES FINALIS DO? 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. WHAT ABOUT YOUR TEAM? The Broker-Dealer Compliance Specialist supports Finalis’s supervisory and compliance program throughout the lifecycle of our registered representatives, from onboarding and registration through ongoing monitoring and supervision. This role is ideal for someone who is detail-oriented, organized, and comfortable exercising sound judgment. The strongest candidate will be able to manage a high volume of matters, identify potential regulatory or supervisory concerns, ask appropriate follow-up questions, and distinguish routine requests from issues requiring deeper review or escalation. WHAT WILL YOU BE DOING? REGISTERED REPRESENTATIVE ONBOARDING & SUPERVISION - Review prospective registered representatives’ backgrounds, Form U4 information, registration history, disclosure events, and other onboarding mate... Click Apply to read the full job description.