--- title: 'Quality & Risk Manager at Finalis' canonical: 'https://feeny.ai/job/quality-risk-manager-finalis-united-states-rmt2e54nrfyg' type: 'job' last_seen: '2026-09-11' --- # Quality & Risk Manager at Finalis - **Company:** Finalis - **Location:** United States - **Compensation:** $90k–$120k - **Employment:** full-time - **Work type:** remote - **Posted:** 2026-09-01 - **Last confirmed live:** 2026-09-11 - **Apply:** https://jobs.ashbyhq.com/finalis/6185d989-9b02-4f28-bb8f-a0c9d62ecb58 ## Job description What does Finalis do? 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. What about your team? 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. What will you be doing? 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. Who are we looking for? - 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. What do we offer? - 100% Remote work - Generous Paid Time Off - Benefits Package - Paid Family Leave - Diverse and inclusive culture ## About Finalis ## Company Overview - **One-liner**: Finalis provides a fully-integrated compliance, dealflow, and network platform that enables independent investment bankers and placement agents to operate more efficiently and confidently. - **Entity Type**: Private (Seed stage – $10.7M raised) - **Headquarters**: San Francisco, California, United States - **Founded**: 2020 - **Founders**: Federico Baradello (CEO) ## Core Business - **Primary industry/industries**: Investment Banking / Fintech (private capital markets infrastructure) - **Target customers**: B2B – independent M&A advisors, placement agents, issuers, and institutional investors - **Mission or purpose statement**: To unlock the private capital markets by simplifying them for all investment bankers, placement agents, and dealmakers. ## Products & Services - **The Finalis Platform**: A single platform combining regulatory compliance (broker-dealer affiliation, FINRA oversight), deal workflow management (approvals, diligence, payments, documentation), network access (890+ members), and deal intelligence (success fee data, real-time visibility). Available as a SaaS-based service with live support. ## Market Standing - **Valuation/Market Cap**: Not publicly available - **Key Metric**: $22.5 billion total closed transaction volume (as of 2025); $10.7M total seed funding (July 2022) - **Notable Investors/Partners**: Eight undisclosed seed investors; institutional-grade partnerships with top banks and deal tools. Member community includes registered representatives and foreign associated persons. - **Growth Signals**: Ranked among top 15 U.S. investment banks and top 22 globally in 2025, making it the fastest-growing investment banking platform in history. Over 30 internal promotions in two years. Despite a market downturn, Finalis has emerged as a leading player across hundreds of transactions. ## Competitive Advantages - **Integrated compliance + dealflow**: Unlike traditional broker-dealer affiliations or point solutions, Finalis combines regulatory oversight, technology infrastructure, and live deal support under one roof. - **Experienced leadership team** with backgrounds in investment banking, law, compliance, and engineering. - **Remote-first, global team** that fosters a high-trust, low-bureaucracy environment where any employee can propose and lead projects. - **Auditability and data-driven insights** for better decision-making in private markets. ## Strategic Focus - Continue scaling the platform to serve more independent dealmakers globally. - Deepen network effects by growing the member community and enhancing deal intelligence features. - Maintain top-tier regulatory compliance while reducing friction and cost for users. ## Why Work Here - **Remote-first culture** – 100% remote team across the globe; digital nomad friendly with flexible hours and access to co-working spaces. - **Growth-oriented** – Over 30 internal promotions in two years; strong investment in employee development and continuous learning. - **Perks**: Performance-based bonus, generous paid time off, internet expenses covered, life milestone bonuses (weddings, new children), quarterly happy hours, and offsite travel opportunities. - **Engineering & product culture**: Horizontal collaboration – no multiple approvals required to start projects; every team member is encouraged to propose and build new ideas. - **Global village** – voluntary cross-company communities (“Finalis Village”) for informal networking and shared interests. ## Sources 1. [finalis.com/about-us](https://www.finalis.com/about-us) 2. [finalis.com/careers](https://www.finalis.com/careers) 3. [finalis.com](https://www.finalis.com/) 4. [linkedin.com/company/finalis](https://www.linkedin.com/company/finalis) ## Other roles at Finalis - [Investment Banking Compliance Analyst](https://feeny.ai/job/investment-banking-compliance-analyst-finalis-united-states-gfzhkr2ftaag) — United States - [Broker-Dealer Compliance Analyst](https://feeny.ai/job/broker-dealer-compliance-analyst-finalis-united-states-cgf37649b9m3) — United States