Legal Ops Associate

Finalis is building the largest investment banking platform in the world. 

🚀 What does Finalis do?

Finalis is the leading platform enabling the securities brokerage landscape to operate legally and compliantly. The firm delivers a white-labeled regulatory affiliation and compliance back-office solution that supports a wide range of private market dealmaking including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsors.

Finalis provides additional leverage to securities brokers with the Finalis Platform, which delivers a hassle-free deal management solution and a Marketplace that connects brokers with one another to gain insights and explore collaborations.

Launched in 2020 and growing rapidly, the SF- and NYC-based firm is on a mission to power dealmakers by building the world’s largest dealmaking platform.

Join us in disrupting the securities industry, for good. 

🌍 How does Finalis work?

• We are a fully-remote company with Finalists distributed between the time zones of Eastern Standard Time and Eastern European Time .

• If you’re located outside this time zone range, depending on the needs of your team, you may be requested to be available during specific hours.

• Although we don’t have an official physical place to work, we promote gathering with your team or other colleagues whenever possible. 

🤝 What about your team?

• As Finalis continues to rapidly grow, we are seeking a Legal Operations Associate who will play a crucial role within our tightly-knit team, working directly with the Associate General Counsel. The ideal candidate will adhere to established policies and procedures, facilitating essential communications across various teams, including Customer Success and Compliance. This role demands a proactive approach to maintaining and updating legal documents, leading negotiations, and ensuring strict adherence to all regulatory requirements. The associate will also manage the escalation of issues outside pre-approved frameworks to the applicable key stakeholder, ensuring alignment with our firm's strategic goals.

✨ What will you be doing?

• The Legal Operations Associate will provide the following support functions:

  • Uphold and meticulously follow the legal team’s established procedures and regulatory requirements.

  • Facilitate and coordinate conversations across different teams, including Customer Success and Compliance, to ensure legal and regulatory alignment.

  • Review, revise, and manage legal agreements and engagement letters, ensuring they meet internal policies and regulatory standards.

  • Lead contract negotiations, ensuring favorable terms and compliance with legal frameworks.

  • Proactively escalate matters that deviate from policies and procedures. 

  • Contribute to the continuous improvement of legal processes and documentation.

  • Providing support with the lifecycle of contracts and templates.

💬 Who are we looking for 

• You have exceptional written and spoken English

• You have a minimum of  4+ years of relevant work experience as an attorney 

• You have experience working at a broker dealer or financial institution; and are familiar with applicable regulations such as FINRA rules.

• You have Google Workspace experience

• You have excellent communication skills 

• You have strong organizational skills 

• You can handle confidential information

• You have the ability to work swiftly with a high sense of urgency and be comfortable with shifting priorities and deadlines

• You are a self-starter, quick learner and highly organized with attention to detail

• You have the ability to follow up; know what's going on at all times and respond quickly

• You are flexible, patient, persistent and have a team spirit attitude

Good to have:

• You have experience using CRM, CLM, Jira, and/or Excel.

• Compliance experience 

🌟 What do we offer?

• 100% Remote work (Work from wherever you want!)

• Competitive USD salary 

• High-Speed Internet expenses allowance

• Generous Paid time-off (Vacation Time!)

• Additional 17 Flex Days (to use in national holidays or personal matters)

• Professional Growth Benefits in our E-Learning Platform (Coursera) (take your skills to the next level!) 🚀

• People Team Partner (to target your roadblocks and customize an action plan for your career path)

• Buddy Program

• Virtual After-Office Activities 

• Diverse Culture & Inclusive environment

🌈 Why work with Finalis?

We are a fast-paced startup which will enable you to develop skills quickly and work in an entrepreneurial culture where pushing limits and taking risks is everyday business. As we have Finalists from different countries and cultures, we encourage our team members to develop their soft skills, boosting their ability to adapt themselves to different backgrounds.

Finalis’ core values:

• We embody the trust we deliver

• Embodying the trust we deliver

• Exercising extreme proactivity

• Redefining, uniting and evolving

• Showing passionate engagement

• Practicing Stewardship

Finalis provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity, or gender expression. We are committed to a diverse and inclusive workforce and welcome people from all backgrounds, experiences, perspectives, and abilities.