Securities & Wealth-Management Compliance / Supervisory Analyst

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

Benefits offered by this job

Remote work arrangement

Contract, hourly engagement

Compensation listed as $100–$150 per/時

Job summary

Weekday is seeking a contract compliance professional to perform QA reviews and supervise disclosures for US securities activities, on a remote, part-time basis.

You will assess Reg BI, DOL rollover, and marketing materials, cite regulations, and draft dispositions while monitoring investments in structured products and alternatives. Ideal candidates have 3+ years in US securities compliance and hold or pursue FINRA licenses; US-based availability for ~15 hours weekly.

Qualifications

• 3+ years of experience 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.
• US-based availability.
• Ability to work approximately 15 hours per week on a contract basis.
• IACCP or comparable compliance designation preferred.
• Experience supervising structured products or alternative investments preferred.
• Strong written judgment and citation discipline.

Responsibilities

• QA periodic client reviews against supervision control checklists, identify deficiencies with control citations, and write audit-trail entries.
• Review Reg BI, DOL rollover, trade, and new-account attestations against reference procedures.
• Identify non-compliant recommendations and document supporting regulatory citations.
• Review client communications and marketing materials under the SEC Marketing Rule and suitability guidelines.
• Draft reviewer dispositions for communications and marketing reviews.
• Supervise structured-product and alternative-investment books for restriction-code hits, recent-purchase patterns, and concentration thresholds.
• Complete self-contained review and supervision exercises using mock files.
• Complete an assessment involving periodic reviews, rollover recommendations, and marketing materials.

Skills

Reg BI knowledge

DOL rollover rules

FINRA supervisory requirements

SEC Marketing Rule

Strong written judgment

Education

Series 7 & 24

Series 9/10 (preferred)

IACCP or comparable designation (preferred)

Job description

Description:

• QA periodic client reviews against supervision control checklists, identify deficiencies with control citations, and write audit-trail entries.
• Review Reg BI, DOL rollover, trade, and new-account attestations against reference procedures.
• Identify non-compliant recommendations and document supporting regulatory citations.
• Review client communications and marketing materials under the SEC Marketing Rule and suitability guidelines.
• Draft reviewer dispositions for communications and marketing reviews.
• Supervise structured-product and alternative-investment books for restriction-code hits, recent-purchase patterns, and concentration thresholds.
• Complete self-contained review and supervision exercises using mock files.
• Complete an assessment involving periodic reviews, rollover recommendations, and marketing materials.

Requirements:

• 3+ years of experience 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.
• FINRA Series 7 and 24, or Series 9/10, preferred.
• IACCP or comparable compliance designation preferred.
• Experience supervising structured products or alternative investments preferred.
• US-based availability.
• Ability to work approximately 15 hours per week on a contract basis.

Benefits:

• Remote work arrangement.
• Contract, hourly engagement.
• Compensation listed as approximately $100–$130 per hour in the description and $110–$150 per hour based on experience and licensing in the details.
• Reasonable accommodations available upon request.