Our client is seeking a Compliance Analyst to join their team. The main function of the 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.
Responsibilities of the Compliance Analyst
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.
Review compliance policies and procedures to identify weaknesses and assist with updating them.
Respond to compliance-related questions.
Conduct risk assessments and compliance testing.
Review and evaluate controls to identify weaknesses, report findings and make recommendations.
Compliance Analyst Qualifications
2 years of experience working with a broker/dealer and/or a registered investment advisor.
Familiarity with FINRA rules, securities law, and SEC regulations, WebCRD, IARD, risk assessment, and mitigation.
Active Series 6/7, 24/26, 65 or their equivalent preferred, but prior FINRA and state registration required.
Proficient using Microsoft Excel.
Strong research, problem-solving, and analytical skills.
This is a remote position.
Benefits are available to eligible VanderHouwen contractors and include coverage for medical, dental, vision, life insurance, short and long term disability, and matching 401k.
VanderHouwen is an award-winning, Women-Owned, WBENC certified professional staffing firm. Founded in 1987, VanderHouwen has been successfully placing experienced professionals throughout the Pacific Northwest and nationwide. Our recruitment teams are highly specialized in either Technology and IT, Engineering, or Accounting and Finance career markets. Our recruiters value building meaningful, professional relationships with each candidate as well as developing honed knowledge of companies' staffing needs and workplaces. Partner with us to land your next exciting career.
VanderHouwen is an Equal Opportunity Employer and participates in E-Verify. VanderHouwen does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, or any other characteristic protected by applicable local, state or federal civil rights laws.