Full-Time
Quality & Risk Manager
Finalis
51-200 employees
Investment banking deal management platform
Compensation Overview
$90k - $120k/yr
Remote in USA
Remote
Bachelor's
 Risk & Compliance (1) |
|---|
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- A Bachelor's degree in business, finance, or a related field is required.
- At least 5 years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment is required.
- Prior experience managing or leading a team is required.
- Strong understanding of FINRA rules, including Rule 3120, risk management frameworks, and quality-assurance practices is required.
- Experience with vendor oversight, technology risk, or cyber testing programs is required.
- A FINRA Series 24 or Series 99 registration is required, or the candidate must be willing to obtain one within 6 months of hire.
- Support the firm's quality and 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 Chief Compliance Officer.
- Support the Risk Management function and represent Quality & Risk at the Risk Committee.
- Own issue-escalation processes and drive timely resolution across teams.
- Conduct root-cause analysis on escalation results and recommend remediation actions.
- Direct technology-testing initiatives and coordinate technology-related risk programs.
- Oversee vendor oversight activities to ensure 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.
- Lead and manage the Quality & Risk team, including workload distribution, quality review, and staff development.
- Set performance goals, provide coaching, and build a culture of accountability within the team.
Preparing a concise company summary based on the provided description.
Company Size
51-200
Company Stage
Seed
Total Funding
$21.4M
Headquarters
Sausalito, California
Founded
2017
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Simplify's Take
What believers are saying
- Reuters reported Steven Price joined Finalis as chief compliance officer on August 13, 2026.
- Finalis claims $225B+ total deal volume and $22B+ closed transactions as of June 1, 2026.
- Federal equity deals and hard-tech advisory expand Finalis beyond traditional M&A workflows.
What critics are saying
- FINRA and SEC rule changes can compress Finalis' brokerage economics within 12 months.
- Finalis depends on boutique banks; one misconduct scandal could trigger member flight quickly.
- Competitors with embedded compliance stacks can replicate features and pressure pricing by 2027.
What makes Finalis unique
- Finalis combines FINRA-registered broker-dealer infrastructure with workflow software and live compliance support.
- Its network reached 890+ members and 1,100+ active deals by June 1, 2026.
- Clark Street and ShareVault partnerships extend Finalis into federal equity and deal execution.
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Benefits
Remote Work Options
Performance Bonus
Phone/Internet Stipend
Unlimited Paid Time Off
Paid Vacation
Professional Development Budget
Health Insurance
Vision Insurance
Dental Insurance
401(k) Retirement Plan
Paid Family Leave
Growth & Insights and Company News
6 month growth
↑ 0%1 year growth
↓ -1%2 year growth
↑ 2%Steven Price, senior vice president of market investigations at the Financial Industry Regulatory Authority (FINRA), has joined dealmaking fintech Finalis as chief compliance officer. During his six years at FINRA, Price supervised thousands of investigations into potential securities law violations, including insider trading and market manipulation. He also launched FINRA's National Cause Program, developing the watchdog's first AI-driven model to centralise and analyse complaints and tips about potential misconduct. San Francisco-based Finalis, founded in 2020 by former Kirkland & Ellis M&A lawyer Federico Baradello, provides licensing and compliance infrastructure for boutique investment banks. The company says it has facilitated $34 billion of transactions to date.
Senior US market watchdog official exits to join dealmaking fintech Finalis. 13 Aug 2026 06:14PM Add CNA as a trusted source to help Google better understand and surface our content in search results. WASHINGTON, Aug 13: Steven Price, senior vice president of market investigations at the U.S. Financial Industry Regulatory Authority (FINRA), has left the Wall Street watchdog to become chief compliance officer at dealmaking fintech Finalis, the company told Reuters on Thursday. During the past six years at FINRA, a self-regulatory organization overseeing broker-dealers, Price was one of Wall Street's top cops, supervising thousands of investigations. He most recently oversaw FINRA's probes into potential securities law violations, such as insider trading and market manipulation. Before that, he launched FINRA's National Cause Program, where he led the development of the watchdog's first AI-driven model to centralize and analyze complaints, tips and other referrals of potential misconduct. Price's move to San Francisco-based Finalis comes as the rise of fintechs and AI is creating competition on Wall Street and reshaping investment banking, allowing more bankers at large firms to launch boutiques and scoop up smaller deals. Boutiques can use AI tools to perform the analytical and administrative work traditionally handled by large teams at Wall Street firms, while Finalis provides licensing and other dealmaking compliance infrastructure. "Being able to take some of the lessons I learned at FINRA on how you can make things faster and connect the right information to the right parties... This was a really attractive opportunity for me," Price said in an interview. Former Kirkland & Ellis M&A lawyer Federico Baradello founded Finalis in 2020. The company says it has facilitated $34 billion of transactions to date. FINRA did not respond to a request for comment.
ShareVault partners with Finalis to modernize deal execution for middle-market banks. Partnership unlocks secure VDR access with 20% referral discounts, enabling boutique banks to compete on an institutional scale. LOS GATOS, Calif., November 13, 2025 - (BUSINESS WIRE) - ShareVault, the modern platform built for high-stakes transactions, announced it has joined the Finalis Member Advantage Program, partnering with Finalis, a cloud-native platform-as-a-service (PaaS) provider powering investment banks, to deliver advanced deal workflow tools to middle-market investment banks, M&A professionals and placement agents. Through this collaboration, Finalis-referral firms gain access to ShareVault's secure virtual data room (VDR) solution at a 20% referral discount, equipping them with enterprise-grade security, AI-driven efficiencies, and a modern user experience optimized for faster, more confident deal execution. "Investment bankers rely on trusted partners to manage every stage of the deal process. By joining forces with Finalis, we're strengthening the ecosystem that supports them - combining our secure document-sharing expertise with Finalis' deep compliance and brokerage infrastructure to help dealmakers move faster, smarter, and with greater confidence," said Steven Monterroso, CEO of ShareVault. Finalis serves more than 400 investment banks and supports over $226 billion in active transaction volume through its marketplace of boutique and independent firms. Now, its members will benefit from an integrated deal-tech stack that unites regulatory infrastructure, deal sourcing, and document workflow, delivered through ShareVault's modern interface and audit-grade controls. "Finalis and ShareVault share a common goal: to empower investment bankers with modern tools that streamline every stage of the deal process. This partnership strengthens our collective ability to support the independent banker community with best-in-class solutions across compliance, diligence, and deal execution," said Nicanor Draghi, Capital Markets Director, Finalis. About Finalis Finalis is the fastest-growing investment banking platform in the U.S., supporting dealmakers with a modern, AI-enabled solution to close transactions faster and with confidence. By streamlining compliance and back-office operations, Finalis empowers investment bankers, placement agents, and M&A advisors to focus on what matters most: getting deals done. With over $23B in aggregate deal volume and a global team spanning the U.S., Latin America, Europe, and Asia, Finalis is transforming how the private capital markets operate.
BOSTON - MARCH 04, 2024 - Fuld & Company, an expanding research, analytics, and advisory consultancy, is pleased to announce a strategic partnership with Finalis, the world's fastest-growing dealmaking platform.
Wednesday, 4 January 2023, 21:32 HKT/SGT Share:Source: Finalis Experience the Future of Investment Banking with Finalis The Finalis Marketplace enables independent investment banks to source deal flowin an easy-to-use, real-time technology-enabled platformSAN FRANCISCO and NEW YORK , Jan 4, 2023 - (ACN Newswire) - Finalis, a rapidly growing investment-banking-as-a-service platform for dealmakers, recently launched its state-of-the-art platform, Finalis Marketplace. The platform allows investment bankers, placement agents and M&A advisors to offer, find and promote deal collaboration with other dealmakers in real-time without the risk of revealing their clients' identity.Finalis provides a unified white-labeled broker dealer platform that ensures a seamless experience for dealmakers. Sourcing, distributing, and executing deals at a faster rate has become a reality with Finalis Marketplace.Founded by banking, compliance, data science, engineering and law experts, Finalis addresses a fragmented and rigid banking infrastructure that has not yet benefited from major advances in financial technology."With growing investment volumes, dealmakers across the globe are increasingly in search of a single platform that enables them to get complex transactions done as quickly and as cleanly as possible," said Finalis Founder and CEO Federico Baradello. "Finalis empowers dealmakers to win more mandates and close more deals. The Marketplace will become the go-to platform for all mid- to small-sized investment banks, businesses and global funds to promote, distribute and find opportunities in the private markets. We look forward to growing and enhancing the platform for bankers and our clients to capture more value and get the exposure they deserve.""Finalis Marketplace is a game-changer for affiliates like me on the platform