Compliance-Legal Operations Analyst

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Requirements:

• You hold a degree in law or in a related field
• You have 2+ years of demonstrated experience in corporate law or compliance-related roles.
• You have exceptional written and spoken English
• You have excellent communication skills
• You have strong organizational skills
• You can handle confidential information
• You have Google workspace experience
• You are a systems thinker and evaluate opportunities to perform the same task more efficiently
• You are able to work swiftly with urgency and be comfortable with shifting priorities and deadlines
• You are a self-starter, quick learner, detailed, able to work independently and highly organized
• You are able to follow up, know what's going on at all times and respond quickly
• You are flexible, patient, persistent and have a team spirit attitude

Responsibilities:

• Review user transaction documents within guidelines established by supervising attorneys and compliance officers and providing support with legal and compliance issues
• Assist in conducting compliance Due Diligence- and KYC/AML- related tasks
• Review marketing materials prepared by our customers and/or their clients to make sure such materials follow Finalis’ communications guidelines.
• Support our account management teams with structuring compliance, legal, process or product solutions to legal- and compliance-related user issues or customer experience pain points.
• Be a key point of contact for users on legal- and compliance-related materials and issues
• Maintain a user knowledge base of common legal and compliance questions and responses
• Assist in researching and responding to comments and/or inquiries received from FINRA, the SEC, and applicable state and foreign securities regulators
• Support the digital transformation of legal and compliance functions to our technology stack and contribute to enhance Finalis’ product in a way that streamline legal and compliance processes and that improves the customer’s experience.
• Provide feedback on ways to improve the operational and tech-enabled Execute systems for legal and compliance operations
• Successfully pass the FINRA SIE + S82 + S24 exams within the first year of joining Finalis.
• Maintain the Objectives and Key Results (OKRs) for the Execute Operations Team
• Employ your English communication skills by communicating verbally and electronically
• Demonstrate accountability, ethics, and integrity in carrying out your day-to-day duties
• Work alongside Finalis attorneys and compliance officers as needed