Securities & Wealth-Management Compliance / Supervisory Analyst

3 days, 4 hours ago
Contract
Mid Level
Finance and Accounting
Weekday

Weekday

Weekday helps companies hire engineers who are vouched by other software engineers, enabling passive income for engineers. They offer services like drafting outreach messages, shortlisting candidates, and conducting reference checks. Backed by Y Combin...

Construction & Engineering
11-50
Founded 2020

Description

  • QA periodic client reviews against supervision control checklists, identify deficiencies with control citations, and write audit-trail entries.
  • Review Reg BI, DOL rollover, trade, and new-account attestations against reference procedures.
  • Identify non-compliant recommendations and document supporting regulatory citations.
  • Review client communications and marketing materials under the SEC Marketing Rule and suitability guidelines.
  • Draft reviewer dispositions for communications and marketing reviews.
  • Supervise structured-product and alternative-investment books for restriction-code hits, recent-purchase patterns, and concentration thresholds.
  • Complete self-contained review and supervision exercises using mock files.
  • Complete an assessment involving periodic reviews, rollover recommendations, and marketing materials.

Requirements

  • 3+ years of experience 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.
  • FINRA Series 7 and 24, or Series 9/10, preferred.
  • IACCP or comparable compliance designation preferred.
  • Experience supervising structured products or alternative investments preferred.
  • US-based availability.
  • Ability to work approximately 15 hours per week on a contract basis.

Benefits

  • Remote work arrangement.
  • Contract, hourly engagement.
  • Compensation listed as approximately $100–$130 per hour in the description and $110–$150 per hour based on experience and licensing in the details.
  • Reasonable accommodations available upon request.

Interested in this position?

Apply directly on the company website

Apply Now

Similar Roles

IT Security & Compliance Lead (Amsterdam, NLD)

B Lab 51-250 Diversified Consumer Services

B Lab is seeking a full-time IT Security & Compliance Lead in Amsterdam to establish consistent security governance, compliance, and risk management across its consolidating global network.

Cybersecurity Penetration Testing Salesforce
1 day, 3 hours ago

IT Security & Compliance Lead (São Paulo, BR)

B Lab 51-250 Diversified Consumer Services

B Lab is seeking an IT Security & Compliance Lead in São Paulo to establish consistent security governance, compliance, risk management, and incident-response practices across its consolidating global nonprofit network.

Cybersecurity Penetration Testing Salesforce
1 day, 3 hours ago

Regulatory Affairs Specialist

MANSCAPED 51-250 Personal Products

MANSCAPED is seeking a Regulatory Affairs Specialist to support the Senior Manager, Regulatory by maintaining global compliance for its cosmetics, personal care, grooming, electrical, battery, accessory, and packaging products.

1 day, 4 hours ago

ABA Director of Credentialing

Coyne & Associates 51-250 Diversified Consumer Services

The Director of Credentialing & Provider Enrollment will lead credentialing, enrollment, contracting, compliance, and accreditation operations for a growing ABA therapy organization serving children and adolescents across four affiliated companies in 10 states.

Salesforce
1 day, 4 hours ago

You're on a roll! Sign up now to keep applying.

Sign Up

Already have an account? Log in

Used by 14,729+ remote workers