Compliance Analyst – Branch Exams

This is a fully remote position, open to applicants in Oregon.

📋 Description

• Conduct compliance assessments of securities brokerage and advisory branch offices

• Carry out approximately 90% of examinations remotely

• Travel domestically up to 40% as business requirements change

• Identify, research, and investigate potential audit discrepancies

• Lead opening and closing meetings with branch staff and leadership

• Prepare clear and well-structured audit reports along with supporting documentation

• Collaborate with Audit Managers and team members to enhance processes, drive efficiencies, and improve exam quality

• Apply regulatory expertise to real-world business scenarios using sound judgment and professionalism

• Report directly to an Audit Manager

⛳️ Requirements

• Active Series 7, 24, and 66 licenses (or Series 63 and 65)

• Over 5 years of pertinent experience in branch examinations or audits, broker-dealer operations, or securities/investment advisory compliance

• Ability to operate independently in a remote, self-directed setting

• Excellent written and verbal communication skills

• Proficient in Microsoft Office, including Word, Excel, Teams, and Outlook

🏝️ Benefits

• Competitive performance-based bonus

• Fully remote work arrangement

• Periodic domestic travel