Quality & Risk Manager

Finalis is the leading platform enabling independent and boutique investment banking firms to operate legally and compliantly. The firm provides regulatory affiliation and compliance infrastructure supporting private market transactions, including M&A, capital raising, private placements, secondary transactions, and alternative investments.

The Quality & Risk Lead plays a critical leadership role in managing Finalis’ quality-assurance and risk-oversight function within the Regulatory Enablement team. Reporting to the Chief Compliance Officer, this managerial role builds and leads the processes that test and continuously monitor whether the firm’s compliance controls are working as designed, coordinates with the Risk Committee, and oversees vendor, technology, and testing programs that support the broader Compliance Program. The Quality & Risk Lead is responsible for the team’s day-to-day workload, quality of output, and professional development.

Quality & Audit Oversight

• Support the firm’s quality/audit function end-to-end, including sample review of escalation results and metrics reporting.

• Oversee continuous monitoring programs to ensure supervisory controls are functioning as designed.

• Support Rule 3120 review activities and coordinate findings with the CCO.

Risk Management & Escalation

• Support the Risk Management function and represent Quality & Risk at the Risk Committee.

• Own issue-escalation processes, driving timely resolution across teams.

• Conduct root-cause analysis on escalation results and recommend remediation actions.

Technology, Vendor & Cyber Oversight

• Direct tech-testing initiatives and coordinate technology-related risk programs.

• Oversee vendor oversight activities, ensuring third-party providers meet the firm’s compliance standards.

• Oversee cyber testing efforts in coordination with the firm’s information-security stakeholders.

• Stay apprised of new threats and make cybersecurity-related recommendations in a rapidly changing technology landscape.

People Management

• Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development. This position will serve as the initial hire for this department, and it is anticipated that the team will grow as the program develops.

• Set performance goals, provide coaching, and build a culture of accountability within the team.

• You have a Bachelor’s degree in business, finance, or a related field.

• You have 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment.

• You have prior experience managing or leading a team.

• You have a strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices.

• You have excellent judgment, communication, and stakeholder-management skills

• You have experience with vendor oversight, technology risk, or cyber testing programs.

• You have held a FINRA Series 24 or Series 99 registration, or are willing to obtain these registrations within 6 months of hire.

• 100% Remote work

• Generous Paid Time Off

• Benefits Package

• Paid Family Leave

• Diverse and inclusive culture