Securities & Wealth-Management Compliance / Supervisory Analyst | $100-$130/hr Remote
Overview
This contract role centers on building a compliance library for US securities and wealth-management work. You will review self-contained supervision exercises based on mock files, score each against a rubric, and produce a draft compliance deliverable. The position is remote, requires about 15 hours weekly, and touches Reg BI, SEC Marketing Rule, and FINRA supervisory standards. No client-facing work is involved; your output is strictly written analysis and audit trails.
What You'll Do4
- 1Audit completed periodic client reviews against a supervision control checklist, flag any deficiencies with specific control citations, and write the audit-trail entry.
- 2Examine Reg BI and DOL rollover attestations, along with trade and new-account forms, against internal procedures, then flag non-compliant recommendations with rule references.
- 3Inspect client communications and marketing materials against the SEC Marketing Rule and suitability guidelines, then draft the reviewer's final disposition.
- 4Monitor structured-product and alternative-investment portfolios for restriction-code hits, recent purchase patterns, and concentration levels that exceed thresholds.
Requirements5
- 1At least three years of US securities, broker-dealer, or RIA compliance or supervision experience.
- 2Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC Marketing Rule.
- 3Strong written judgment with a habit of citing exact rules or control references to back every finding.
- 4FINRA Series 7 and 24 (or 9/10) or an IACCP certification is a plus.
- 5Experience supervising structured products or alternative investments is preferred.
Who Should Apply
This role fits a compliance professional with several years in securities supervision who can work independently on mock files and produce clean, well-cited compliance documents. Candidates who lack direct experience with Reg BI or the SEC Marketing Rule will likely struggle on the assessment. The remote, part-time contract setup is less suitable for someone seeking a full-time staff position or who prefers a structured team environment. Many applicants get filtered out when they cannot explain their citations clearly or demonstrate hands-on familiarity with rollover rules and suitability checks.
Salary Insight
The contract pays $110 to $150 per hour, depending on experience and licensing. That rate sits above typical compliance analyst hourly ranges because the work expects immediate mastery of Reg BI, DOL rollover rules, and the SEC Marketing Rule with no training ramp.
Location
Required Skills
Application Tip
Before applying, review the SEC Marketing Rule's key provisions and practice writing a deficiency note against a sample communication. The online assessment will test citation discipline, so bring specific rule references in your responses.
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