Securities & Wealth-Management Compliance / Supervisory Analyst

2 hours, 47 minutes ago
Contract
Mid Level
Finance and Accounting
Weekday

Weekday

Weekday helps companies hire engineers who are vouched by other software engineers, enabling passive income for engineers. They offer services like drafting outreach messages, shortlisting candidates, and conducting reference checks. Backed by Y Combin...

Construction & Engineering
11-50
Founded 2020

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.

Interested in this position?

Apply directly on the company website

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