Remote Wealth-Management Compliance Supervisor

Obsidian; San Francisco (CA); Remote; USD 152,000 - 207,000; Full time

Job summary

Obsidian is building a high-quality library of US securities- and wealth-compliance work products. You will complete self-contained review and supervision exercises from mock files and produce the compliance deliverable for each, drafted outputs.

In this hourly contract (~15 hrs/week), you will QA completed periodic client reviews against a supervision checklist; review Reg BI / DOL rollover and trade attestations against reference procedures; flag non-compliant recommendations with citations.

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 citations.
• Review Reg BI, DOL rollover rules, 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

DOL rollover rules

FINRA supervisory requirements

SEC Marketing Rule

Written judgment

Citation discipline

Job description

Obsidian is building a high-quality library of US securities- and wealth-compliance work products. You will complete self-contained review and supervision exercises from mock files and produce the compliance deliverable for each, drafted outputs.

In this hourly contract (~15 hrs/week), you will QA completed periodic client reviews against a supervision checklist; review Reg BI / DOL rollover and trade attestations against reference procedures; flag non-compliant recommendations with citations.