Securities Compliance Analyst - Expert
$100 - $130 per hourMercor
Job Description
Job Description
About the job
Mercor connects elite creative and technical talent with leading AI research labs. Headquartered in San Francisco, our investors include Benchmark , General Catalyst , Peter Thiel , Adam D'Angelo , Larry Summers , and Jack Dorsey .
Position: Securities & Wealth-Management Compliance / Supervisory Analyst
Type: Contract
Compensation: $100–$130/hour
Location: Remote
Commitment: 15 hours/week
Role Responsibilities
- Evaluate 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.
Qualifications
Must-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.
Preferred
- FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.
Application Process (Takes 20–30 mins to complete)
- Upload resume
- AI interview based on your resume
- Submit form
Resources & Support
- For details about the interview process and platform information, please check:
- For any help or support, reach out to: View email address on ziprecruiter.com
PS: Our team reviews applications daily. Please complete your AI interview and application steps to be considered for this opportunity.
Vacancy posted a month ago
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