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Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly, providing regulatory affiliation and compliance infrastructure for private market transactions including M&A, capital raising, and alternative investments.
The Quality & Risk Manager reports to the Chief Compliance Officer and leads Finalis' quality-assurance and risk-oversight function within the Regulatory Enablement team. This is a foundational leadership role building and managing processes that test and continuously monitor whether the firm's compliance controls are working as designed. You will coordinate with the Risk Committee and oversee vendor, technology, and testing programs supporting the broader Compliance Program.
Key responsibilities include:
**Quality & Audit Oversight:** Support the firm's quality/audit function end-to-end, including sample review of escalation results and metrics reporting. Oversee continuous monitoring programs to ensure supervisory controls function as designed. Support Rule 3120 review activities and coordinate findings with the CCO.
**Risk Management & Escalation:** Support the Risk Management function and represent Quality & Risk at the Risk Committee. Own issue-escalation processes, driving timely resolution across teams. Conduct root-cause analysis on escalation results and recommend remediation actions.
**Technology, Vendor & Cyber Oversight:** Direct tech-testing initiatives and coordinate technology-related risk programs. Oversee vendor oversight activities ensuring third-party providers meet compliance standards. Oversee cyber testing efforts in coordination with information-security stakeholders. Stay apprised of new threats and make cybersecurity-related recommendations.
**People Management:** Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development. This is the initial hire for this department with anticipated team growth. Set performance goals, provide coaching, and build a culture of accountability.
Required qualifications: Bachelor's degree in business, finance, or related field. 5+ years of experience in compliance, risk management, or audit within financial services or broker-dealer environment. Prior experience managing or leading a team. Strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices. Excellent judgment, communication, and stakeholder-management skills. Experience with vendor oversight, technology risk, or cyber testing programs. FINRA Series 24 or Series 99 registration required or willingness to obtain within 6 months of hire.
