Compliance Analyst

Tech Providers, Inc.; Portland (OR); Remote; USD 70,000 - 90,000; Full time

Job summary

A leading financial services company is seeking a Compliance Officer to oversee broker-dealer compliance tasks. This role entails managing customer complaints, ensuring adherence to SEC regulations, and supporting cross-functional compliance initiatives. Successful candidates will hold Series 7, 63, and 24 licenses and have a minimum of three years of relevant experience.

Qualifications

• 3+ years of broker-dealer compliance experience required.
• Excellent communication skills across various business lines.
• Ability to handle and investigate customer complaints effectively.

Responsibilities

• Act as a registered principal of the broker-dealer maintaining required licenses.
• Conduct customer complaint reviews and escalate investigations.
• Support compliance documentation and regulatory adherence.

Skills

Broker-dealer compliance experience

Communication

Customer complaints handling

Understanding of financial regulations

Problem identification and solution management

Financial technology experience

Evaluating compliance tools

Collaboration with cross-functional teams

Salesforce proficiency

Excel proficiency

Education

Client Licenses: Series 7, Series 63 and Series 24

Job description

Duration : 03+ Months contract and will extension

Location : Remote

Duties :

• Act as a registered principal of the broker-dealer and be required to maintain the following securities licenses : Series 7, Series 63 and Series 24
• Conduct review and appropriately triage customer complaints from Salesforce reports, including customer complaint logging and escalation investigation
• Create and maintain customer complaint files
• Perform regular reviews of CAI customer and internal communications and evidence supervisory oversight
• Supervise customer and employee activities to ensure compliance with firm policies and regulation
• Test the firm’s record keeping archiving capabilities to ensure CAI records are properly distributed, managed, and archived in the appropriate storage location(s)
• Help support CAI’s record-keeping program and ensure adherence to Client and SEC record-keeping requirements
• Assist with drafting and updating CAI’s policies, procedures and other documentation, including documentation shared cross-functionally
• Support the compliance function in executing departmental plans, maintaining relevant policies and procedures, and liaising with auditors as needed
• Provide compliance subject matter expertise to support cross-functional teams
• Support the CAI compliance program to ensure management of corporate and legal obligations, appropriate controls, and adherence to regulatory requirements
• Develop and deliver CAI’s annual Firm Element training to registered representatives of the broker dealer
• Monitor the firm’s continuing education training program and develop report(s) to illustrate status and deadlines, on a periodic basis
• Other Compliance-related essential functions

Skills :

• 3+ years of broker-dealer compliance experience
• The ability to effectively communicate across various lines of business and with senior management
• Experience handling, investigating, or managing customer complaints and supervision of communications for a financial services company
• Respect for and interest in financial rules and regulations, as well as an eagerness to innovate and drive the industry forward
• The ability to identify and define problems, build project plans to address them, and manage implementation of their solutions
• Prior experience within a financial technology company
• Experience evaluating compliance tools and workflow systems
• Ability to work with individuals across business lines, including product teams, operations groups, legal teams, project management, and executive leadership
• Experience leveraging systems such as : Salesforce, Smarsh & Erado
• Proficiency in Excel

Education :

• Currently hold Client Licenses : Series 7, Series 63 and Series 24