Quality & Risk Manager

Finalis
United States
Workplace: RemoteFull timeUSD 90,000 - 120,000 annuallyFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Judgment","Communication","Stakeholder management","Accountability","Coaching"]

Lead Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team, reporting to the Chief Compliance Officer. Build and manage testing and continuous monitoring processes to ensure compliance controls work as designed, coordinate Rule 3120 review, and represent Quality & Risk at the Risk Committee. Direct technology, vendor, and cyber testing efforts, drive issue escalation and root-cause remediation, and lead the team’s day-to-day output and professional development.

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Finalis
Finalis
4 days ago

Quality & Risk Manager

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Last checked: 12 hours agoStatus: Live

Job Summary

Lead Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team, reporting to the Chief Compliance Officer. Build and manage testing and continuous monitoring processes to ensure compliance controls work as designed, coordinate Rule 3120 review, and represent Quality & Risk at the Risk Committee. Direct technology, vendor, and cyber testing efforts, drive issue escalation and root-cause remediation, and lead the team’s day-to-day output and professional development.
Location: United States
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Support the quality/audit function end-to-end, including sample review of escalation results and metrics reporting.
  • •Oversee continuous monitoring programs and coordinate Rule 3120 review activities with the CCO.
  • •Own issue-escalation processes, conduct root-cause analysis on escalation results, and recommend remediation actions.
  • •Direct tech-testing initiatives, oversee vendor oversight activities, and coordinate cyber testing with information-security stakeholders.
  • •Lead and manage the Quality & Risk team, including workload distribution, quality review, performance goals, coaching, and staff development.

Pay and Benefits

Salary: USD 90,000 - 120,000 annually
Perks:Remote WorkPaid LeaveParental Leave

Key Requirements

  • •Bachelor’s degree in business, finance, or a related field.
  • •5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment.
  • •Experience managing or leading a team.
  • •Strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices.
  • •Experience with vendor oversight, technology risk, or cyber testing programs.
Experience:5+ yearsFinancial servicesBroker-dealer
Education:Bachelor's in business, finance, or a related field
Skills:JudgmentCommunicationStakeholder managementAccountabilityCoaching
Licenses:FINRA Series 24FINRA Series 99

Company Brief

Finalis
Provides a regulatory affiliation, compliance back-office, and deal-management platform that enables private market dealmakers, investment bankers, and placement agents to execute transactions compliantly and collaborate via a marketplace and hub.
Industry: RegTech
Company Size: Medium (51 to 250 employees)
Growth: Early Stage Startup
Valuation: USD 50M to 100M
Funding: Seed
Headquarters: San Francisco, United States
Founded: 2020
Glassdoor
Glassdoor: 2.8
WebsiteLinkedInGlassdoor