Securities & Wealth-Management Compliance / Supervisory Analyst

Weekday AI; United States; Remote; USD 138,000 - 207,000; Full time

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.

Skills

US securities compliance

Reg BI knowledge

DOL rollover rules

FINRA supervisory requirements

SEC Marketing Rule

Written judgment

Citation discipline

Job description

This role is for one of our clients

Compensation: $100 - $130 per hour

We're building a high-quality library of US securities- and wealth-compliance work products. You'll complete self-contained review and supervision exercises from mock files and produce the compliance deliverable for each, graded against a rubric. Draft-only outputs.

What you'll do

• 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.

You're a fit if you 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.

Nice to have

• FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.

Assessment

Score a periodic review against a control checklist; review a rollover recommendation against Reg BI; flag a marketing piece against the SEC Marketing Rule.

Details

Contract, hourly (~15 hrs/week), remote, US-based. Pay $110-150/hr based on experience and licensing.

We consider all qualified applicants without regard to legally protected characteristics and provide reasonable accommodations upon request.