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.
- 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.