Compliance Analyst

LHH Recruitment Solutions; Wilsonville (OR); Remote; USD 60,000 - 80,000; Full time

Job summary

A leading company in the Fintech sector is seeking a Compliance Analyst with broker-dealer experience for a 100% remote position. The role requires valid FINRA licenses and involves acting as a supervisory principal to ensure compliance with regulatory standards and manage client complaints effectively. Candidates should possess strong communication skills and a proactive mindset.

Benefits

Medical insurance

Dental insurance

Vision insurance

401K plan

Paid Sick Leave

Short-term disability coverage

Qualifications

• Minimum of three years' experience in a compliance role within a broker-dealer environment.
• Must hold active Series 7, Series 63, and Series 24 FINRA licenses.
• Experience in financial technology or startup preferred.

Responsibilities

• Serve as a supervisory principal ensuring compliance with regulatory licensing requirements.
• Evaluate customer complaints and oversee investigations and documentation.
• Conduct assessments of client communications for supervisory review.

Skills

Communication

Proactive mindset

Operational risk identification

Collaboration

Regulatory compliance passion

Tools

Salesforce

Microsoft Excel

Smarsh

Erado

Job description

LHH is looking for a Compliance Analyst with a Broker-Dealer background for one of our top Fintech clients! This is a 100% remote opportunity.

Position Overview

This role involves functioning as a registered principal for a broker-dealer, requiring active FINRA licenses including Series 7, Series 63, and Series 24.

Key Responsibilities

• Serve as a supervisory principal and ensure ongoing compliance with regulatory licensing requirements.
• Evaluate and manage customer complaints originating from Salesforce data, including proper documentation, escalation, and investigation procedures.
• Organize and retain comprehensive complaint records in accordance with regulatory expectations.
• Conduct periodic assessments of client and internal communications to demonstrate appropriate supervisory review.
• Oversee business conduct and staff interactions to verify adherence to company standards and applicable laws.
• Review and test how records are stored and archived to confirm they are preserved in alignment with firm protocols and regulatory mandates.
• Contribute to the upkeep and compliance of the firm's document retention processes in line with FINRA and SEC rules.
• Participate in the drafting, maintenance, and refinement of policies, procedural documents, and internal compliance materials, including those shared across departments.
• Collaborate with the compliance team to carry out strategic initiatives, maintain internal controls and documentation, and support audit-related efforts.
• Offer regulatory guidance and compliance insight to cross-functional teams to support business activities.
• Aid in the administration and execution of the compliance framework to ensure regulatory and corporate governance standards are met.
• Design and present the firm's annual training program (Firm Element) for registered personnel.
• Monitor and report on progress and deadlines related to ongoing continuing education initiatives.
• Perform additional essential tasks aligned with the compliance function as needed.

Qualifications

• Minimum of three years' experience in a compliance role within a broker-dealer environment
• Strong communication skills with the ability to collaborate across business units and interact effectively with senior leadership
• Demonstrated background in managing client grievances and reviewing regulated communications
• Passion for regulatory compliance, with a proactive and innovative mindset toward industry advancement
• Capable of identifying operational risks, proposing action plans, and overseeing successful implementation
• Prior experience working in a financial technology or startup setting is preferred
• Familiarity with evaluating compliance platforms and optimizing workflow tools
• Adept at cross-departmental coordination, including collaboration with legal, operations, product development, and executive stakeholders
• Working knowledge of platforms like Salesforce, Smarsh, and Erado
• Advanced proficiency in Microsoft Excel

Licensing Requirements

• Must currently hold active Series 7, Series 63, and Series 24 FINRA licenses

Pay Details : $30.00 to $34.00 per hour

Search managed by : Thomas Lovejoy

Benefit offerings available for our associates include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits and a 401K plan. Our benefit offerings provide employees the flexibility to choose the type of coverage that meets their individual needs. In addition, our associates may be eligible for paid leave including Paid Sick Leave or any other paid leave required by Federal, State, or local law, as well as Holiday pay where applicable.

Equal Opportunity Employer / Veterans / Disabled

To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https : / / www.lhh.com / us / en / candidate-privacy

The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and / or security clearance requirements, including, as applicable :

• The California Fair Chance Act
• Los Angeles City Fair Chance Ordinance
• Los Angeles County Fair Chance Ordinance for Employers