Senior Quality & Risk Lead - Compliance & Cyber (Remote)

Finalis

United States

Remote

USD 90,000 - 130,000

Full time

2 days ago

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Benefits offered by this job

Paid Time Off

Flex Days

Healthcare

Vision

Dental

401k

Paid Family Leave

Inclusive culture

Job summary

Finalis, a premier platform for independent and boutique investment banking firms, seeks a Quality & Risk Lead within the Regulatory Enablement team. You will build and direct QA controls, oversee risk programs, and ensure third-party and cyber testing align with firm standards.

You will report to the CCO and shape the team from its inception. You will lead a growing team, set performance goals, and drive remediation actions across functions, leveraging your FINRA knowledge and

Qualifications

Bachelor’s degree in business, finance, or a related field.
5+ years of experience in compliance, risk management, or audit within financial services.
Experience managing or leading a team.
Strong understanding of FINRA rules, risk management frameworks, and quality-assurance practices.
Excellent judgment, communication, and stakeholder-management skills.

Responsibilities

Oversee quality/audit oversight and metrics reporting.
Manage risk management and escalation processes; Represent Quality & Risk at the Risk Committee.
Lead vendor oversight and cyber/testing programs; coordinate technology-related risk.
Coordinate with the CCO and Risk Committee on findings and remediation actions.