Remote Wealth-Management Compliance Lead & AI Reviewer

Obsidian; Chicago (IL); On-site; USD 152,000 - 207,000; Part time

Job summary

Obsidian is seeking a compliance reviewer to join a remote, US-based team. You will QA completed periodic client reviews against a supervision control checklist, review Reg BI and DOL rollover and trade attestations, and assess outgoing client communications for SEC Marketing Rule compliance.

The role is contract-based, about 15 hours per week, with compensation of $110–$150 per hour based on experience and licenses.

Qualifications

• 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.

Responsibilities

• QA 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.

Skills

US Securities Compliance

Reg BI knowledge

SEC Marketing Rule

Written Judgment

Job description

Obsidian is seeking a compliance reviewer to join a remote, US-based team. You will QA completed periodic client reviews against a supervision control checklist, review Reg BI and DOL rollover and trade attestations, and assess outgoing client communications for SEC Marketing Rule compliance.

The role is contract-based, about 15 hours per week, with compensation of $110–$150 per hour based on experience and licenses.