Compliance-Legal Operations Analyst
Finalis(1 month ago)
About this role
A Compliance-Legal Operations Analyst at Finalis is responsible for reviewing user transaction documents, conducting compliance due diligence, and ensuring marketing materials comply with communication guidelines. This role involves supporting account management teams in resolving legal and compliance-related issues, maintaining a knowledge base for common inquiries, and enhancing legal and compliance processes through digital transformation. The analyst will work closely with attorneys and compliance officers, manage responses to regulatory inquiries, and maintain objectives for the Execute Operations Team, all while demonstrating strong communication and organizational skills.
Required Skills
- Legal Review
- Compliance Support
- KYC/AML Tasks
- Marketing Materials Review
- User Contact
- Knowledge Base Maintenance
- Regulatory Research
- Digital Transformation
- Operational Improvement
- FINRA Exams
+16 more
Qualifications
- Degree in law or a related field
- FINRA SIE exam
- FINRA S82 exam
- FINRA S24 exam
About Finalis
finalis.comFinalis is a transformative platform designed for private capital markets, providing automation and intelligence to enhance deal-making efficiency. The company serves over 390 firms, facilitating compliance, a curated deal network, and automated workflows through a single ecosystem. Finalis focuses on making compliance a competitive advantage while accelerating the deal lifecycle and improving data-driven decision-making, empowering investment bankers, issuers, and investors alike.