Finalis

• Define, own, and deliver business-level objectives and product strategy related to our data and payment products by developing a deep understanding of customer needs, growth opportunities, and industry trends. • Decisively solve problems through tenacious learning about our customers and internal processes - communicating the solutions and turning them into business opportunities. • Productize and lead new initiatives, ensuring high-quality, timely execution. • Communicate effectively and work cross-functionally with stakeholders across Sales, Business Operations, Engineering, Product Design, and Compliance to ideate, develop and launch new products and features. • Identify unmet needs and markets that the company can pursue. • Synthesize quantitative data analysis with qualitative user research results to make informed product decisions. • Leverage AI to accelerate and amplify your impact.

• Design, build, and maintain scalable backend services and APIs for our compliance, data, and payment products. • Collaborate cross-functionally with Product, Design, Sales, and Compliance teams to translate business needs into technical solutions. • Take ownership of end-to-end projects from technical design and implementation to deployment and monitoring. • Ensure code quality, reliability, and security through best practices in testing, CI/CD, and monitoring. • Mentor and guide junior engineers, contributing to a culture of technical excellence and continuous learning. • Participate in architectural discussions and help shape the long-term technical vision of the platform. • Stay up-to-date with industry trends in fintech, compliance, and distributed systems to bring innovative solutions to Finalis.

🚀 What does Finalis do? Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors. Finalis provides additional leverage to securities brokers with the Finalis Platform, which delivers a hassle-free deal management solution and a Marketplace that connects brokers with one another to gain insights and explore collaborations. Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform. Join us in disrupting the securities industry, for good. 🌍 How does Finalis work? - We are a fully-remote company with Finalists distributed between the time zones of Pacific Standard Time and Eastern European Time . - If you’re located outside this time zone range, depending on the needs of your team, you may be requested to be available during specific hours. - Although we don’t have an official physical place to work, we promote gathering with your team or other colleagues whenever possible. ✨ What will you be doing? - Review of the written communication to ensure that our clients are compliant with FINRA requirements and to prevent any possible non-compliant actions. - Review user transaction documents within the guidelines established by supervising attorneys and compliance officers and provide support with legal and compliance issues - Assist in conducting compliance Due Diligence- and KYC/AML- related tasks - Review marketing materials prepared by our customers and/or their clients to make sure such materials follow Finalis’ communications guidelines. - Support our account management teams with structuring compliance, legal, process or product solutions to legal- and compliance-related user issues or customer experience pain points. - Be a key point of contact for users on legal- and compliance-related materials and issues - Maintain a user knowledge base of common legal and compliance questions and responses - Assist in researching and responding to comments and/or inquiries received from FINRA, the SEC, and applicable state and foreign securities regulators - Support the digital transformation of legal and compliance functions to our technology stack and contribute to enhance Finalis’ product in a way that streamline legal and compliance processes and that improves the customer’s experience. - Provide feedback on ways to improve the operational and tech-enabled Execute systems for legal and compliance operations - Successfully pass the FINRA SIE + S82 + S24 exams within the first year of joining Finalis. - Maintain the Objectives and Key Results (OKRs) for the Execute Operations Team - Employ your English communication skills by communicating verbally and electronically - Demonstrate accountability, ethics, and integrity in carrying out your day-to-day duties - Work alongside Finalis attorneys and compliance officers as needed - Availability to work on Pacific Standard Time (PST) 💬 Who are we looking for - You have 2+ years of demonstrated experience in compliance-related roles. - You have exceptional written and spoken English - You have excellent communication skills - You have strong organizational skills - You can handle confidential information - You have Google workspace experience - You are a systems thinker and evaluate opportunities to perform the same task more efficiently - You are able to work swiftly with urgency and be comfortable with shifting priorities and deadlines - You are a self-starter, quick learner, detailed, able to work independently and highly organized - You are able to follow up, know what's going on at all times and respond quickly - You are flexible, patient, persistent and have a team spirit attitude Bonus Track! - You have demonstrated experience in U.S. compliance - You have demonstrated experience with digital transformation processes 🌟 What do we offer? - 100% Remote work (Work from wherever you want!) - Competitive USD salary - High-Speed Internet expenses allowance - Generous Paid time-off (Vacation Time!) - Additional 17 Flex Days (to use in national holidays or personal matters) - People Team Partner (to target your roadblocks and customize an action plan for your career path) - Buddy Program - Virtual After-Office Activities - Diverse Culture & Inclusive environment Why work with Finalis? We are a fast-paced startup which will enable you to develop skills quickly and work in an entrepreneurial culture where pushing limits and taking risks is everyday business. As we have Finalists from different countries and cultures, we encourage our team members to develop their soft skills, boosting their ability to adapt themselves to different backgrounds. Finalis’ values: - Deliver with Integrity - Dream Boldly - Empower through Leadership - Value Learning Finalis provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity, or gender expression. We are committed to a diverse and inclusive workforce and welcome people from all backgrounds, experiences, perspectives, and abilities.

• Support the drafting, review, and maintenance of internal compliance policies. • Conduct regulatory research to ensure policies reflect current FINRA and SEC requirements. • Assist in designing policies that balance risk management with operational efficiency and customer experience. • Contribute to a comprehensive policy framework that supports sustainable growth and scalability. • Maintain version control and documentation standards for all policy materials. • Translate approved policies into actionable procedures and operational guidelines. • Support the creation and ongoing updates of Standard Operating Procedures (SOPs). • Ensure internal documentation, including WSPs and knowledge base materials, remains consistent and up to date. • Identify gaps or inconsistencies between policies and operational practices and recommend corrective updates. • Liaise with Product, Operations, Delivery, and other internal teams to ensure policies are operationally feasible and effectively implemented. • Partner with Product teams to ensure system functionality aligns with regulatory requirements and internal policies. • Support internal stakeholders by providing guidance on policy interpretation and procedural application. • Assist in preparing materials and documentation needed for internal reviews or regulatory examinations. • Generally support the senior leaders within the Compliance in the daily administration of the firm’s Compliance Program.

• Serve as the primary escalation point for complex compliance and supervisory matters arising from the Delivery team. • Assess regulatory risk, provide clear guidance, and drive timely resolution of escalated issues. • Participate in the handling of regulatory inquiries, examinations, and audits, including reviewing responses and helping coordinate cross-functional stakeholders. • Provide expert interpretation of FINRA and SEC rules and ensure consistent supervisory application. • Ensure proper documentation, defensibility, and alignment with internal supervisory controls. • Identify regulatory gaps and implement corrective or preventive measures where necessary. • Key stakeholder in Rule 3120 annual compliance reviews and testing. • Review advertising and marketing materials for regulatory compliance. • Provide insights to help the Compliance team enhance Written Supervisory Procedures (WSPs). • Help coordinate the annual compliance meeting and required regulatory attestations. • Support onboarding of registered representatives through the FINRA Gateway system. • Prepare quarterly and periodic compliance reports. • Help monitor regulatory developments and implement necessary policy or procedural updates. • Contribute to the development and enhancement of compliance-related systems and tools. • Provide Series 24 supervisory oversight and guidance to the broker-dealer operations team. • Support supervision of capital raise and M&A transactions, ensuring regulatory compliance and adequate documentation. • Review and approve activities requiring principal oversight. • Partner with Legal and Compliance to address regulatory risks and internal matters. • Key stakeholder in strengthening supervisory frameworks, policies, and controls. • Contribute to the development and refinement of supervisory procedures and related technology enablement in coordination with Compliance, Product, and Engineering.

• As an Accounting Analyst you are expected to manage core accounting processes with autonomy and independence, implement, maintain, and enhance accounting controls over the financial statements to ensure accuracy and compliance with US GAAP and drive process improvements to streamline workflows and enhance operational efficiency. • Manage end-to-end accounting processes, including monthly revenue recognition, accruals, and expense allocations. • Ensure timely and accurate month-end and year-end closes. • Oversee and execute monthly account reconciliations, promptly investigating and resolving variances. • Prepare and review journal entries, ensuring proper documentation and compliance. • Implement, maintain, and enhance accounting controls over the balance sheet and P&L to ensure accuracy and compliance with US GAAP. • Coordinate tax filings in partnership with external tax advisors. • Work closely with FP&A team to ensure alignment with financial data. • Partner with cross-functional teams to validate accounting data, identify discrepancies, and maintain data integrity. • Support the preparation of financial statements and analysis. • Prepare broker dealer regulatory reporting and external audit requirements. • Identify opportunities to streamline processes, automate repetitive tasks, and improve accuracy. • Develop and implement standard operating procedures (SOPs) for accounting workflows.

• Work in a small team to iteratively improve our platform user experience • Take new features from ideation, to prototyping, to user testing, to production • Design web & mobile web experiences that are simple and intuitive • Participate in regular design reviews where you’ll seek out specific feedback on your designs and incorporate relevant feedback • Use AI to generate prototypes and leverage AI within your overall design process • Collaborate daily with Engineering, Customer Success, and Product