Compliance-Legal Operations Analyst

Who you are

You are an entry-level professional eager to dive into the world of compliance and legal operations. You possess strong communication skills in English, both verbal and written, which you will utilize to interact with users and address their legal and compliance-related inquiries. You demonstrate accountability, ethics, and integrity in your work, ensuring that all tasks are completed with the highest standards of professionalism. You are adaptable and thrive in an entrepreneurial culture where pushing limits and taking risks is encouraged. You are also open to developing your soft skills to better interact with team members from diverse backgrounds.

What you'll do

In this role, you will review user transaction documents according to guidelines set by supervising attorneys and compliance officers. You will assist in conducting compliance due diligence and KYC/AML-related tasks, ensuring that all processes adhere to regulatory standards. You will also review marketing materials prepared by customers to ensure compliance with Finalis’ communication guidelines. As a key point of contact for users on legal and compliance-related issues, you will maintain a knowledge base of common questions and responses to enhance user experience. Additionally, you will support account management teams in structuring compliance and legal solutions to address user issues effectively. You will assist in researching and responding to inquiries from regulatory bodies such as FINRA and the SEC, contributing to the digital transformation of legal and compliance functions within the organization.

What we offer

Finalis offers a dynamic work environment where you can grow your career in compliance and legal operations. You will have the opportunity to work closely with experienced attorneys and compliance officers, gaining valuable insights into the legal landscape. The company values integrity, boldness, and leadership, fostering a culture of learning and development. You will be encouraged to pursue relevant certifications, such as the FINRA SIE, S82, and S24 exams, within your first year. This role provides a unique opportunity to contribute to the enhancement of Finalis’ product offerings while streamlining legal and compliance processes to improve customer experience.