Compliance-Legal Operations Analyst

What will you be doing?

• Review user transaction documents within guidelines established by supervising attorneys and compliance officers and providing 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
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