Execute Supervisory Analyst

Finalis • New York, NY

347d • Remote

About The Position

As an Execute Supervisory Analyst, you will be responsible for ensuring compliance with FINRA requirements through the review of written communications and brokerage account statements. Your role will involve driving process and system implementations to automate the capture of required brokerage statements and uncompliant emails. You may also engage in deal supervision tasks, support account management teams with compliance-related solutions, and assist in responding to inquiries from regulatory bodies such as FINRA and the SEC. Additionally, you will contribute to the digital transformation of legal and compliance functions and provide feedback on improving operational systems. You are expected to pass the FINRA SIE + S82 exams within the first 18 months and maintain the Objectives and Key Results (OKRs) for the Execute Team.

Requirements

• 1+ years of experience in compliance-related roles.
• Exceptional written and spoken English.
• Excellent communication skills.
• Strong organizational skills.
• Ability to handle confidential information.
• Experience with Google Workspace.
• Systems thinking and ability to evaluate efficiency opportunities.
• Ability to work swiftly with urgency and adapt to shifting priorities.
• Self-starter, quick learner, and highly organized.
• Ability to follow up and respond quickly.

Nice To Haves

• Experience in U.S. compliance.
• Experience with digital transformation processes.
• Availability to work on Eastern Standard Time (EST).

Responsibilities

• Review written communication to ensure compliance with FINRA requirements.
• Review brokerage account statements and maintain clients' trading restricted stock lists.
• Drive process and system implementations to automate the capture of required brokerage statements and uncompliant emails.
• Perform deal supervision tasks including reviewing transaction agreements, marketing materials, and KYC forms.
• Support account management teams with compliance, legal, and process solutions.
• Assist in researching and responding to inquiries from FINRA, SEC, and other regulators.
• Contribute to the digital transformation of legal and compliance functions.
• Provide feedback on improving operational and tech-enabled systems for legal and compliance operations.
• Maintain the Objectives and Key Results (OKRs) for the Execute Team.
• Communicate effectively in English, both verbally and electronically.
• Demonstrate accountability, ethics, and integrity in daily duties.

Benefits

• 100% Remote work.
• Competitive USD salary.
• High-Speed Internet expenses allowance.
• Generous Paid time-off (Vacation Time).
• Additional 17 Flex Days for national holidays or personal matters.
• Professional Growth Benefits through E-Learning Platform (Coursera).
• People Team Partner for career path customization.
• Buddy Program.
• Virtual After-Office Activities.
• Diverse Culture & Inclusive environment.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities