1MO AGO

Securities & Wealth-Management Compliance / Supervisory Analyst

Mercor / Securities & Wealth-Management Compliance / Supervisory Analyst

RATE

$100-$130/HR

LOCATION

REMOTE (GLOBAL)

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DESCRIPTION

Securities & Wealth-Management Compliance / Supervisory Analyst All application steps are reused whenever another role requires the same step, so you never have to upload your resume or take the same interview twice About the work 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.
▸Contract and Payment Terms