Securities & Wealth-Management Compliance / Supervisory Analyst

About this role

**About the work** 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. **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.

Eligible applicant countries

This role accepts applicants from:

• USA

Skills & domains

• ai-training
• rlhf
• sme
• annotation
• Law