Quality & Risk Manager

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee the quality-assurance and risk-management function for Finalis within the Regulatory Enablement team.

• Develop and lead processes to assess and continuously monitor compliance controls.

• Collaborate with the Risk Committee.

• Manage vendor, technology, and testing programs that support the Compliance Program.

• Supervise the team's daily workload, output quality, and professional growth.

• Assist the firm's quality and audit function, including reviewing samples of escalation results and reporting metrics.

• Manage continuous monitoring initiatives to ensure supervisory controls operate as intended.

• Facilitate Rule 3120 review activities and align findings with the Chief Compliance Officer (CCO).

• Represent the Quality & Risk team at the Risk Committee meetings.

• Oversee issue-escalation processes and ensure prompt resolution across teams.

• Conduct root-cause analyses on escalation outcomes and suggest remediation measures.

• Lead technology-testing projects and coordinate technology-related risk initiatives.

• Supervise vendor oversight activities and third-party compliance standards.

• Manage cyber testing in collaboration with information-security stakeholders.

• Stay informed about new threats and provide cybersecurity-related recommendations.

• Lead and manage the Quality & Risk team, including distributing workload, quality assessments, and staff development.

• Establish performance targets, offer coaching, and cultivate a culture of accountability.

⛳️ Requirements

• Bachelor’s degree in business, finance, or a related discipline.

• Over 5 years of experience in compliance, risk management, or audit within financial services or a broker-dealer context.

• Previous experience in managing or leading a team.

• Strong knowledge of FINRA regulations, particularly Rule 3120.

• Familiarity with risk management frameworks and quality-assurance practices.

• Exceptional judgment, communication, and stakeholder-management capabilities.

• Background in vendor oversight, technology risk, or cyber testing programs.

• Possession of a FINRA Series 24 or Series 99 registration, or a commitment to obtain these registrations within 6 months of employment.

• Relevant FINRA registrations, including Series 7, 79, and/or 82.

• Experience in reviewing Regulation D offerings and understanding FINRA Rules 5122 and 5123.

• Experience with M&A transactions and evaluating deals within the federal M&A broker exemption framework.

• Awareness of private funds, SPVs, secondary transactions, or other intricate private market structures.

• Background at an investment bank, broker-dealer, securities law firm, FINRA, SEC, or another financial-services regulatory body.

🏝️ Benefits

• 100% Remote work.

• Competitive salary in USD.

• Generous Paid Time Off.

• Additional Flex Days.

• Comprehensive Benefits Package (Healthcare, Medical, Vision, Dental, 401k).

• Paid Family Leave.

• A diverse and inclusive culture.