Compliance Analyst in Portland, OR at Volt

Date Posted: 11/18/2020

Job Snapshot

Job Description

VOLT is seeking candidates for “Regulatory Compliance Analyst” role for our client in Portland, OR. This is 100% remote role and is contract position of about 3 months.

The main function of an SEC/FINRA 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 Description:

  • Assist 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.

 Skills/Qualifications:

  • Must have at least two years of experience working for a broker-dealer and/or an investment adviser
  • Advanced Microsoft Excel skills to create reports and analyze trends.
  • Strong problem-solving and decision-making skills.
  • Strong research, analytical and reporting abilities.
  • Ability to implement comparative analysis and deliver logical recommendations or conclusions.
  • Familiarity with FINRA rules, securities law, and SEC regulations required.
  • Working knowledge of WebCRD and IARD preferred.
  • Current or prior securities registrations (Series 6/7, 24/26, 65 or their equivalent) required.
  • Knowledge of retirement plans a plus.

VOLT is an Equal Opportunity Employer