Securities & Wealth-Management Compliance / Supervisory Analyst [Remote]

Securities & Wealth-Management Compliance / Supervisory Analyst is a remote review track for evaluating AI outputs across wealth advisory workflows. Reviewers grade calculations, narrative reasoning, and policy adherence; flag compliance and reconciliation issues; and document the correct treatment so the modeling team can train on it.

Why this role matters

Wealth advisory workflows leave no room for fuzzy reasoning. AuraOne uses experienced finance-and-risk professionals to grade AI outputs the way an audit reviewer would — with citations, severity tags, and the corrected calculation alongside the original.

Responsibilities

• Review AI outputs against current wealth advisory standards, regulations, and firm policy for Securities & Wealth-Management Compliance / Supervisory Analyst assignments.
• Re-perform calculations and flag rounding, classification, or treatment errors.
• Tag compliance, reconciliation, and disclosure issues with structured severity scores.
• Capture the corrected workpaper or narrative so the modeling team can train on it.
• Adjudicate disputed treatments against published standards or firm guidance.
• Maintain reviewer-quality scores in inter-rater calibration cycles.

Qualifications

• Direct working experience with wealth advisory on real engagements, transactions, or audits for Securities & Wealth-Management Compliance / Supervisory Analyst work.
• A CPA, CFA, or ACA. A comparable credential or equivalent applied experience also works.
• Comfort applying multi-page rubrics consistently across long batches.
• Clear written reasoning that cites standards, regulations, or firm policy.
• Reliable async availability for at least 10 hours per week.

Example tasks

• Re-perform a wealth advisory calculation produced by a model and flag any rounding or classification errors.
• Grade a model's narrative reasoning on a complex transaction and rate the citation quality.
• Adjudicate a disputed treatment between two reviewers using current standards.
• Audit a 25-row batch for rubric consistency and report drift to the program lead.

Nice to have

• Big Four, bulge-bracket, or in-house controller / risk experience.
• Familiarity with AI-assisted close, audit, or risk tooling and its failure modes.
• Bilingual experience for cross-jurisdiction reviews.

Skills

• Financial analysis
• Audit-grade review
• Regulatory standards
• Risk assessment
• Wealth advisory

Work model

Remote — US-eligible. Remote · Independent specialist contractor. Employment type: CONTRACTOR. Applicants must be authorized to work from US.

Compensation

$100–$130 / hr

Application process

Apply through AuraOne's specialist intake for role-specific routing and review. Final project scope, schedule, and contractor terms are confirmed before placement.