Senior Securities Compliance Analyst - Remote

Obsidian; San Francisco (CA); On-site; USD 152,000 - 207,000; Part time

Benefits offered by this job

Remote work

Job summary

Obsidian in San Francisco, CA is seeking a contract compliance reviewer to conduct self-contained reviews of mock files and produce draft-only compliance deliverables. You will assess client reviews, attestations, and marketing materials for adherence to rules and procedures.

The role is remote, ~15 hours per week, with an hourly rate of $110–$150 depending on experience and licensing. This is a contract position based in the United States.

Qualifications

• 3+ years in US securities compliance or supervision.
• Working knowledge of Reg BI, DOL rollover rules, FINRA supervision, suitability, SEC Marketing Rule.
• Strong written judgment and citation discipline.

Responsibilities

• QA completed periodic client reviews against a supervision control checklist; write audit-trail entries.
• Review Reg BI / DOL rollover and trade / new-account attestations for compliance with procedures.
• Assess marketing pieces against SEC Marketing Rule and draft reviewer dispositions.
• Supervise structured-product and alternative-investment books; flag restrictions and concentration patterns.

Skills

US securities compliance

Reg BI knowledge

Written judgment

Job description

Obsidian in San Francisco, CA is seeking a contract compliance reviewer to conduct self-contained reviews of mock files and produce draft-only compliance deliverables. You will assess client reviews, attestations, and marketing materials for adherence to rules and procedures.

The role is remote, ~15 hours per week, with an hourly rate of $110–$150 depending on experience and licensing. This is a contract position based in the United States.