Compliance Analyst - 100% Remote

Compliance Analyst

Genesis10 is seeking a Compliance Analyst for a 9-month contract position with a financial services client located in Milwaukee, WI. This role is 100% remote. Compensation: $30.00 - 32.00 per hour.

Summary

The Compliance Analyst will support advisors and clients by reviewing investment transactions—including new accounts, subsequent transactions, and trade monitoring—to ensure adherence to regulations and company policies. Series 7 and 24 required.

Responsibilities

• Review new accounts, transactions, and trades to ensure compliance with regulations and company policies.
• Apply knowledge of compliance requirements to support advisors and clients.
• Demonstrate ownership and accountability in daily responsibilities.
• Adapt to working with limited information while maintaining accuracy and diligence.
• Learn technical compliance subjects, seek feedback, and apply continuous improvement.
• Collaborate with team members and provide input on process efficiency.
• Other duties as assigned.

Qualifications

• Bachelor's degree.
• 2–3 years of experience in the financial services industry.
• Series 7 and 24 required
• Proficiency with Microsoft Word, Excel, Adobe, and SharePoint.

Preferred Qualifications

• Advertising compliance experience.
• Strong analytical and problem-solving skills.
• Ability to work independently with a high sense of ownership and accountability.

Only candidates available and ready to work directly as Genesis10 employees will be considered for this position. Able to work as a W2 employee of Genesis10 (no corp to corp).

If you have the described qualifications and are interested in this exciting opportunity, apply today!

Genesis10 Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many Fortune 100 firms and a variety of mid-market organizations across multiple industries.

For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can explain the unique benefits offered for that client.

Benefits of Working with Genesis10

• Access to hundreds of long-term client partnerships (5–20+ years).
• Career-home potential; many consultants have worked exclusively with Genesis10 for years.
• Support from an experienced and caring recruiting team (average of 7+ years of experience).
• Behavioral Health Platform
• Medical, Dental, Vision Insurance
• Health Savings Account
• Voluntary Hospital Indemnity (Critical Illness & Accident)
• Voluntary Term Life Insurance
• 401K
• Sick Pay (where applicable)
• Commuter Benefits (Dallas, NYC, SF)
• Remote opportunities available

For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., a Best Company for Work-Life Balance, a Best Company for Career Growth, and for Diversity and Leadership. To learn more and view all our available career opportunities, please visit our website

Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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