Securities & Wealth-Management Compliance / Supervisory Analyst

Job description

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. 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

What you'll do - 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.

You're a fit if you have - 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 - 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.