Remote Broker-Dealer Compliance Evaluator

ixolabs.ai; France; Sur place; EUR 144 000 - 192 000; Temps partiel

Avantages offerts par ce poste

Remote assignments

Competitive hourly rate

Flexible hours

Résumé du poste

IXO seeks U.S. securities-compliance practitioners to produce and evaluate draft supervisory work products for paid remote assignments. You will work through self-contained mock files, apply review criteria and document findings with precise citations.

Responsibilities include reviewing client reviews for supervisory controls, assessing rollover recommendations and marketing materials under Reg BI, the SEC Marketing Rule, and DOL rollover rules. Applicants must be U.S.-based.

Qualifications

• Three years in U.S. broker-dealer, securities or registered-investment-adviser compliance or supervision.
• Working knowledge of Reg BI, DOL rollover requirements, FINRA supervision, suitability and the SEC Marketing Rule.
• Ability to write clear findings and cite sources carefully.

Responsabilités

• Produce and evaluate draft supervisory work products for paid remote assignments.
• Check completed periodic client reviews against a supervisory control checklist and cite requirements.
• Assess rollover recommendations, trade attestations, and new-account records against reference procedures and flag non-compliant items.

Connaissances

Reg BI knowledge

DOL rollover requirements

FINRA supervision

SEC Marketing Rule

Formation

Experience in U.S. broker-dealer compliance

Description du poste

IXO seeks U.S. securities-compliance practitioners to produce and evaluate draft supervisory work products for paid remote assignments. You will work through self-contained mock files, apply review criteria and document findings with precise citations.

Responsibilities include reviewing client reviews for supervisory controls, assessing rollover recommendations and marketing materials under Reg BI, the SEC Marketing Rule, and DOL rollover rules. Applicants must be U.S.-based.