SlipstreamJobs tracks this role from the company's public career site. Apply directly on the employer's site.
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The company provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.
The Broker-Dealer Compliance Analyst supports Finalis's supervisory and compliance program throughout the lifecycle of registered representatives, from onboarding and registration through ongoing monitoring and supervision.
Key responsibilities include:
REGISTERED REPRESENTATIVE ONBOARDING & SUPERVISION: Review prospective registered representatives' backgrounds, Form U4 information, registration history, and disclosure events. Support Form U4 and U5 filings, amendments, licensing, and FINRA Gateway/CRD processes. Coordinate registration matters with state securities regulators. Monitor reportable events and ensure regulatory filings, disclosures, attestations, and training are completed accurately and timely. Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST) requests, including conflicts and compensation arrangements. Review gifts, entertainment expenses, political contributions, and other registered-person activities subject to regulatory requirements.
SURVEILLANCE, CONFLICTS & PERSONAL TRADING: Administer and monitor registered representative personal securities accounts and personal trading requirements. Identify and escalate potential conflicts of interest, material nonpublic information (MNPI), insider trading, information-barrier, or restricted-list concerns. Conduct risk-based surveillance of email and electronic business communications. Identify and escalate unapproved activities, customer complaints, undisclosed conflicts, inappropriate communications, or other regulatory concerns. Conduct follow-up reviews and investigations with clear documentation.
ONGOING COMPLIANCE SUPPORT: Support review and escalation of customer complaints, regulatory inquiries, and disclosure events. Assist with responses to FINRA, SEC, state securities regulators, and other authorities. Work directly with registered representatives to obtain information and resolve compliance matters. Assist with annual certifications, questionnaires, attestations, and supervisory processes. Maintain accurate compliance books and records. Support regulatory examinations, internal compliance testing, and audits. Stay current on FINRA rules and regulatory guidance.
Required qualifications: Bachelor's degree or equivalent professional experience. 3+ years of broker-dealer compliance, registration, supervision, surveillance, or related financial-services experience. Working knowledge of FINRA rules and broker-dealer supervisory requirements. Experience with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading, gifts and entertainment, conflicts of interest, and electronic communications surveillance. Strong analytical skills, sound judgment, and attention to detail. Ability to identify matters requiring escalation and document compliance decisions clearly. Strong written and verbal communication skills. Ability to manage high volume of matters and competing deadlines.
Bonus qualifications: Current or previous FINRA registrations (Series 7, 24, 79, 82). Experience in investment banking, private placement, or independent broker-dealer environments. Experience reviewing complex OBA, PST, conflicts-of-interest, or registered-person disclosure matters. Experience with electronic communications surveillance or personal trading monitoring. Experience investigating compliance violations or registered representative conduct concerns. Experience supporting FINRA or SEC examinations.
