Compliance Analyst

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

Job summary

A leading financial services company is seeking a Compliance Analyst for a remote role. The position involves maintaining securities licenses, managing customer complaints, and supporting compliance programs. The ideal candidate will have over three years of broker-dealer compliance experience and strong communication skills to collaborate effectively across various business lines.

Qualifications

• 3+ years of broker-dealer compliance experience required.
• Currently hold Client Licenses: Series 7, Series 63, Series 24.
• Experience in financial technology is a plus.

Responsibilities

• Maintain securities licenses: Series 7, Series 63, Series 24.
• Conduct review and escalate customer complaints.
• Support compliance and document management.

Skills

Broker-dealer compliance experience

Effective communication

Handling customer complaints

Respect for financial rules

Problem identification and project planning

Experience in financial technology

Evaluating compliance tools

Working across business lines

Experience with Salesforce

Proficiency in Excel

Education

Client Licenses: Series 7, Series 63, Series 24

Job description

Title: Compliance Analyst
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