Securities & Wealth-Management Compliance / Supervisory Analyst
About this role
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.
Details
- Pay: $100 to $130/hr
- Company: Mercor
- Location: Remote
- Eligible locations: United States
- Platform: Mercor
Frequently asked questions
How much does the Securities & Wealth-Management Compliance / Supervisory Analyst role pay?
Mercor lists this Securities & Wealth-Management Compliance / Supervisory Analyst position at $100 to $130/hr. Pay is set by Mercor and your exact offer depends on your experience and the scope of the work.
Is the Securities & Wealth-Management Compliance / Supervisory Analyst role remote, and can I work from home?
Yes. Mercor lists this Securities & Wealth-Management Compliance / Supervisory Analyst position as fully remote, so you can work from home or anywhere with a reliable computer and internet connection.
Is Securities & Wealth-Management Compliance / Supervisory Analyst full time or part time?
Mercor lists this as a contractor remote role. Full details are in the role description above.
Which countries can apply for Securities & Wealth-Management Compliance / Supervisory Analyst?
Mercor lists eligibility for United States. Check the Mercor listing for current requirements before applying.
Do I need experience to apply for Securities & Wealth-Management Compliance / Supervisory Analyst?
The requirements are listed in the role description above. Mercor screens applicants through its own process, and relevant skills or credentials strengthen your application.
How do I apply for the Securities & Wealth-Management Compliance / Supervisory Analyst role, and is it legit?
Use the apply button on this page to go straight to the official Mercor listing. Mercor is a real hiring marketplace and applying is free. No legitimate employer charges you to apply.
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