Securities Compliance Analyst for Wealth Management

Perform focused review and supervision exercises for US securities and wealth-management compliance, using mock client files to produce draft compliance deliverables. Work products are self-contained, evaluated against a rubric, and emphasize clear written judgment and citation discipline.

• Complete self-contained review and supervision exercises from mock files, producing draft deliverables graded against a rubric.
• Quality-assure completed periodic client reviews using a supervision control checklist, flag deficiencies with specific control citations, and record audit-trail entries.
• Review Reg BI and DOL rollover matters, trade and new-account attestations against reference procedures, and identify non-compliant recommendations with citations.
• Evaluate outgoing client communications and marketing materials for compliance with the SEC Marketing Rule and suitability standards, and draft reviewer dispositions.
• Supervise structured-product and alternative-investment books, flagging restriction-code hits, recent-purchase patterns, and concentration threshold issues.

• Minimum 3 years of experience in US securities, broker-dealer, or RIA compliance or supervision.
• Working knowledge of Regulation Best Interest, Department of Labor rollover rules, FINRA supervisory requirements, suitability obligations, and the SEC Marketing Rule.
• Strong written judgment, attention to citation discipline, and ability to document findings clearly.

• FINRA Series 7 plus 24, or 9/10.
• IACCP or a comparable compliance designation.
• Direct experience supervising structured products or alternative investments.

The application and evaluation include practical exercises. Candidates will be asked to:

• Score a periodic review against a control checklist.
• Review a rollover recommendation for Reg BI compliance and identify issues.
• Flag a marketing piece against the SEC Marketing Rule.

Delivered assessment outputs are draft-only and will be graded against a rubric.

• Contract, hourly engagement.
• Approximately 15 hours per week.
• Fully remote work.

• Compensation references in the materials include $100 to $130 per hour, and separately $110 to $150 per hour. The listing also notes pay is based on experience and licensing.

• Candidates must be US-based.

Submit your application to be invited to the assessment exercises described above. Complete the assessment tasks, which serve to demonstrate your review and supervisory capabilities and are scored against the rubric.