Compliance Analyst

Dexian; Wilsonville (OR); Remote; USD 60,000 - 80,000; Full time

Job summary

A leading company in staffing and IT solutions seeks a compliance professional to oversee regulatory adherence and manage customer complaints remotely. The role requires maintaining securities licenses and developing compliance training, making a significant impact in a supportive and dynamic environment.

Qualifications

• 3+ years of broker-dealer compliance experience required.
• FINRA licenses (Series 7, 63, 24) must be held.
• Experience in customer complaint handling and management.

Responsibilities

• Act as a registered principal of the broker-dealer.
• Supervise compliance with firm policies and regulations.
• Develop and deliver compliance training for registered representatives.

Skills

Broker-dealer compliance experience

Communication skills

Customer complaint management

Problem-solving skills

Experience in financial technology

Compliance tools evaluation

Excel proficiency

Education

FINRA Licenses: Series 7, Series 63, Series 24

Tools

Salesforce

Smarsh

Erado

Job description

Duration : 05 / 20 / 2025 to 08 / 20 / 2025

Location : Remote

Pay Range : $33- 34.48 hourly on W2

Notes :

100% Remote. Time Zone : EST or PST

JOB SUMMARY

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 FINRA 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 FINRA Licenses : Series 7, Series 63 and Series 24

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https : / / dexian.com / to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.