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Job# 38216 BH# 399240
Contact# 6200679

Compliance Analyst

Our client is hiring a Compliance Analyst on a three month contract 40 hours per week. This is a remote opportunity but must be willing to work west coast hours.

The main function of an SEC/FINRA Regulatory Compliance Analyst is to carry out tasks to help ensure that the broker/dealer and the investment adviser comply with securities laws, rules and regulations as well as their own compliance policies and procedures. 

Job Responsibilities: 
- Assist with new and ongoing registration-related tasks using WebCRD and IARD. 
- Review and maintain compliance logs and submissions. 
- Assist with the development and delivery of the firm element compliance training. 
- Respond to compliance-related questions. 

- Strong problem-solving and decision-making skills. 
- Eye for details. 
- Strong research, analytical and reporting abilities. 

- Must have at least two years of experience working for a broker-dealer and/or an investment adviser. 
- Familiarity with FINRA rules, securities law, and SEC regulations required. 
- Working knowledge of WebCRD and IARD preferred. 
- Knowledge of retirement plans a plus. 
- Must know how to use Microsoft Excel to create reports and analyze trends.