Compliance Analyst

Ursus; Portland (OR); Remote; USD 80,000 - 100,000; Full time

Job summary

A leading fintech organization is hiring a Compliance Analyst for a remote position. The role involves maintaining securities licenses, managing customer complaints, and ensuring compliance with firm policies. Candidates will benefit from competitive pay and significant opportunities for career advancement within a dynamic industry.

Benefits

Comprehensive benefits including Medical, Dental, Vision, and 401K.

Opportunity for career advancement.

100% remote work flexibility.

Qualifications

• Minimum of 3 years of broker-dealer compliance experience.
• Current FINRA Licenses: Series 7, Series 63, and Series 24.
• Experience managing customer complaints in financial services.

Responsibilities

• Act as a registered principal of the broker-dealer, maintaining licenses.
• Review and triage customer complaints from Salesforce reports.
• Assist in drafting and updating compliance policies.

Skills

Communication

Proficiency in Excel

Job description

Employer Industry: Fintech Organization

Why consider this job opportunity:
- Salary up to $34/hr
- Opportunity for career advancement within a cutting-edge fintech company
- 100% remote work flexibility for candidates in EST or PST time zones
- Comprehensive benefits including Medical, Dental, Vision, Commuter, and 401K with company matching
- Engage in innovative projects that drive the financial services industry forward
- Collaborate with cross-functional teams and gain valuable compliance expertise

What to Expect (Job Responsibilities):
- Act as a registered principal of the broker-dealer, maintaining necessary securities licenses: Series 7, Series 63, and Series 24
- Review and triage customer complaints from Salesforce reports, ensuring proper logging and escalation
- Supervise customer and employee activities to ensure compliance with firm policies and regulations
- Assist in drafting and updating compliance policies and procedures, including cross-functional documentation
- Develop and deliver annual training on compliance for registered representatives of the broker-dealer

What is Required (Qualifications):
- Minimum of 3 years of broker-dealer compliance experience
- Current FINRA Licenses: Series 7, Series 63, and Series 24
- Experience handling and managing customer complaints within a financial services company
- Proficiency in Excel and familiarity with compliance tools and workflow systems
- Strong communication skills across various business lines and with senior management

How to Stand Out (Preferred Qualifications):
- Prior experience within a financial technology company
- Experience leveraging systems such as Salesforce, Smarsh, and Erado
- Demonstrated ability to identify compliance issues and implement effective solutions
- Interest in financial rules and regulations, along with a drive for innovation

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