Remote Broker-Dealer Compliance Analyst — Regulatory Oversight
Finalis
Brooklyn, NY
- Remote job
Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The Broker-Dealer Compliance Specialist helps oversee the supervisory and compliance program from onboarding through ongoing monitoring and supervision. This role is ideal for someone who is detail-oriented, organized, and comfortable exercising sound judgment. The strongest candidate will manage a high volume of matters, identify regulatory concerns, and escalate as #J-18808-Ljbffr Finalis
Vacancy posted 3 days ago
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