Securities Compliance & Supervisory Analyst – Remote

Weekday AI

United States

Remote

USD 138,000 - 207,000

Full time

14 days+

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Job summary

Weekday AI is seeking a compliance reviewer to execute self-contained exercises and produce compliant deliverables for a US securities context. You will assess client reviews, attestations, and communications for regulatory alignment, drafting dispositions and audit trails.

This remote, part-time role compensates hourly, reflecting experience and licensing. The engagement emphasizes adherence to Reg BI, DOL rollover rules, FINRA rules, and SEC Marketing Rule with precise citation discipline; 15

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 periodic client reviews against a supervision checklist; flag deficiencies with citations and write audit-trail entries.
Review Reg BI, DOL rollover, and trade/new-account attestations; flag non-compliant recommendations with citations.
Review client communications and marketing pieces against SEC Marketing Rule and suitability; draft dispositions.
Supervise structured-product and alts; flag restriction codes, purchase patterns, and concentration thresholds.