Head of Quality & Risk — Remote Compliance Leader

Finalis; Northern (KY); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

100% Remote work

Generous Paid Time Off

Benefits Package

Paid Family Leave

Diverse and inclusive culture

Job summary

Finalis is seeking a Quality & Risk Lead to oversee the regulatory enablement program, reporting to the Chief Compliance Officer. You will build and lead QA, risk oversight, vendor and cyber risk programs, and guide testing, with responsibility for team workload and development.

The role requires a bachelor's in business or finance, 5+ years in compliance/risk/audit in financial services, leadership experience, and knowledge of FINRA rules (including 3120).

Qualifications

• Bachelor's degree in business, finance, or related field.
• 5+ years in compliance, risk management, or audit within financial services.
• Experience leading a team.
• Strong understanding of FINRA rules (including Rule 3120) and QA practices.
• Experience with vendor oversight, technology risk, or cyber testing programs.
• Willing to obtain FINRA Series 24 or Series 99 within 6 months.

Responsibilities

• Lead quality/audit function end-to-end with metrics reporting.
• Oversee continuous monitoring to ensure supervisory controls function as designed.
• Support Rule 3120 reviews and coordinate findings with the CCO.
• Represent Quality & Risk at the Risk Committee and support risk management.
• Own issue-escalation processes and drive timely resolution.
• Conduct root-cause analysis and recommend remediation actions.
• Direct tech-testing initiatives and coordinate tech risk programs.
• Oversee vendor oversight and ensure third-party providers meet standards.
• Oversee cyber testing with information-security stakeholders.
• Stay apprised of threats and make cybersecurity recommendations.
• Lead and manage the Quality & Risk team as the department grows.
• Set performance goals and foster accountability within the team.

Skills

Leadership

Communication

Stakeholder management

Risk management

Compliance

Financial services knowledge

Education

Bachelor's degree in business or finance

Job description

Finalis is seeking a Quality & Risk Lead to oversee the regulatory enablement program, reporting to the Chief Compliance Officer. You will build and lead QA, risk oversight, vendor and cyber risk programs, and guide testing, with responsibility for team workload and development.

The role requires a bachelor's in business or finance, 5+ years in compliance/risk/audit in financial services, leadership experience, and knowledge of FINRA rules (including 3120).