Compliance Analyst in Portland, OR at Volt

Date Posted: 1/28/2021

Job Snapshot

Job Description

Compliance Analyst

3-month Opportunity!

$28 Hourly 



Key objective for the Role:

  • 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 
  • Assist with new and ongoing registration-related tasks using WebCRD and IARD
  • Review and maintain compliance logs and submissions
  • Respond to compliance-related questions

Position Requirements:

  • Must have at least two years of experience working for a broker-dealer and/or an investment adviser
  • Must know how to use Microsoft Excel to create reports and analyze trends
  • Familiarity with FINRA rules, securities law, and SEC regulations required
  • Strong research, analytical and reporting abilities as well as attention to detail
  • Knowledge of retirement plans a plus
  • Must reside on the West Coast


  • Bachelors Degree, or the equivalent combination of education/experience.

How to apply: Please submit your resume online and click apply

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Volt is an Equal Opportunity Employer