Compliance Analyst 5 - CW in Portland, OR at Volt

Date Posted: 11/4/2019

Job Snapshot

Job Description

Compliance Analyst, Finance

This is an estimated 3 month temporary position, in Portland, OR and is offered through Volt Workforce Solutions. We are among the largest staffing companies in the US for contingent/temporary and direct hire placements, and support many of the top rated Pacific Northwest companies.

The main function of a Regulatory Compliance Analyst is to carry out tasks to help ensure that the broker/dealer and the investment adviser comply with securities laws, rules and regulations as well as their own compliance policies and procedures. Job responsibilities include assisting with new and ongoing registration-related tasks using WebCRD and IARD. Review and maintain compliance logs and submissions. Assist with the development and delivery of the firm element compliance training. Review compliance policies and procedures to identify weaknesses and assist with updating them. Respond to compliance-related questions. Conduct risk assessments and compliance testing. Review and evaluate controls to identify weaknesses, report findings and make recommendations. We are looking for a strong problem-solving and decision-making background. An eye for details. Strong research, analytical and reporting abilities.  A strong understanding of risk assessment and mitigation. The ability to implement comparative analysis and deliver logical recommendations or conclusions.

Requirements

  • 5-7 years’ experience as a Compliance Analyst
  • Experience with a Broker/Dealer or Investment Adviser preferred
  • WebCRD and IARD experience preferred 
  • 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
  • Bachelor’s degree in Business, Accounting, Finance or related field

Volt Information Sciences, Inc. is an international provider of staffing services, outsourcing solutions, and information technology infrastructure services. We offer a candidate referral bonus, please inquire for more details. (Conditions and restrictions apply).

Volt is an Equal Opportunity Employer.