Quality & Risk Manager

Finalis; United States; On-site; USD 120,000 - 160,000; Full time

Job summary

Finalis is seeking a Quality & Risk Lead within the Regulatory Enablement team to build and lead the firm's quality-assurance and risk-oversight functions. Reporting to the CCO, this role will design and operate controls testing, escalation handling, and vendor oversight.

You will manage the team, set performance goals, and coordinate with Risk Committee, information security, and other stakeholders to strengthen governance across private market transactions and compliance programs.

Qualifications

• Bachelor’s degree in business, finance, or related field.
• 5+ years in compliance, risk management, or audit within financial services or broker-dealer.
• Experience leading a team.
• Strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and QA practices.
• Excellent judgment and stakeholder-management skills
• Experience with vendor oversight, technology risk, or cyber testing.
• FINRA Series 24 or Series 99 registration, or readiness to obtain within 6 months.

Responsibilities

• Quality & Audit Oversight end-to-end, including sample review of escalation results and metrics reporting.
• Oversee continuous monitoring programs to ensure supervisory controls function as designed.
• Support Rule 3120 review activities and coordinate findings with the CCO.
• Own issue-escalation processes, driving timely resolution across teams.
• Conduct root-cause analysis on escalation results and recommend remediation actions.
• Direct tech-testing initiatives and coordinate technology-related risk programs.
• Oversee vendor oversight activities, ensuring third-party providers meet compliance standards.
• Oversee cyber testing efforts in coordination with information-security stakeholders.
• Stay apprised of new threats and make cybersecurity-related recommendations.

Skills

Leadership

Stakeholder management

Communication

Compliance

Risk management

Quality assurance

Vendor oversight

Cybersecurity awareness

Education

Bachelor’s degree in business, finance, or related field

Job description

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.
• 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.