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Securities & Wealth-Management Compliance / Supervisory Analyst

Weekday
Remote, USA
Contract
Mid · 3+ years experience
Remote
Discovered 3 days ago

Full Job Posting

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.

Responsibilities

  • 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.

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