Securities & Wealth-Management Compliance / Supervisory Analyst

United StatesRemoteContractmid

OperationsManagement

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Quick Summary

Overview

This role is for one of our clients Compensation: $100 - $130 per hour We're building a high-quality library of US securities- and wealth-compliance work products.

Technical Tools

OperationsManagement

What We Offer

~1 min read

We're building a high-quality library of US securities- and wealth-compliance work products. You'll complete self-contained review and supervision exercises from mock files and produce the compliance deliverable for each, graded against a rubric. Draft-only outputs.

Requirements

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Responsibilities

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→QA completed periodic client reviews against a supervision control checklist; flag deficiencies with specific control citations and write the audit-trail entry.
→Review Reg BI / DOL rollover and trade / new-account attestations against reference procedures; flag non-compliant recommendations with citations.
→Review outgoing client communications and marketing pieces against the SEC Marketing Rule and suitability guidelines; draft reviewer dispositions.
→Supervise structured-product and alternative-investment books; flag restriction-code hits, recent-purchase patterns, and concentration thresholds.

3+ years in US securities / broker-dealer / RIA compliance or supervision.
Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC Marketing Rule.
Strong written judgment and citation discipline.

Nice to Have

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FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.

Assessment Score a periodic review against a control checklist; review a rollover recommendation against Reg BI; flag a marketing piece against the SEC Marketing Rule.

Details Contract, hourly (~15 hrs/week), remote, US-based. Pay $110-150/hr based on experience and licensing.

We consider all qualified applicants without regard to legally protected characteristics and provide reasonable accommodations upon request.