Quality & Risk Manager

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 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 WILL YOU BE DOING? QUALITY & AUDIT OVERSIGHT - Support the firm’s quality/audit function end-to-end, including sample review of escalation results and metrics reporting. - Oversee continuous ... Click Apply to read the full job description.