Compliance Analyst 5 - CW in Portland, OR at Volt

Date Posted: 10/4/2019

Job Snapshot

Job Description

Compliance Analyst

Downtown, Portland

Full time, 40 hours per week

M-F, 3-month assignment 

Salary: DOE

Great opportunity to gain a wide-range of experience in a large Insurance and Financial service provider! 

What is in it for you:

  • Work in the heart of downtown Portland
  • Close to public transportation
  • Local company that supports communities where we live in work
  • Supportive team environment
  • Consistent work schedule- Weekends Off

Key Objective for the role:

  • Ensure that broker/dealer and investment advisers comply with security laws, rules, regulations and policies
  • Identify opportunities for operational improvements and make recommendations to manager
  • Process new and ongoing registrations
  • Conduct risk assessments and compliance testing

Experience and Requirements:

  • WebCRD and IARD experience preferred 
  • 5-7 years’ experience as a Compliance Analyst with a Broker/Dealer or Investment Adviser  
  • Series 6/7, 24/26, 65 or equivalent preferred
  • Previous FINRA registrations required
  • Retirement plan knowledge a plus
  • Excellent problem solving and decision-making skills
  • Intermediate MS Office including Excel

Education:

Bachelor’s degree in Business, Accounting, Finance or related field

How to Apply: For immediate consideration, click ‘Apply’ button below. You may also call Maureen Wehrley or Liisa Erickson at 503-227-3332 for additional information. Please reference Job ID# 195501.

To learn more about Volt, please visit: http://www.volt.com and to see more of our job postings, please visit: http://jobs.volt.com

Volt is an Equal Opportunity Employer.