Securities & Wealth-Management Compliance, Supervisory Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Conduct comprehensive self-contained reviews and supervision tasks using mock files.

• Generate draft-only compliance deliverables for each review exercise.

• Perform quality assurance on completed periodic client reviews using a supervision control checklist.

• Identify deficiencies with precise control citations and document audit-trail entries.

• Evaluate Reg BI / DOL rollover and trade / new-account attestations against reference procedures.

• Highlight non-compliant recommendations with appropriate citations.

• Assess outgoing client communications and marketing materials in line with the SEC Marketing Rule and suitability guidelines.

• Prepare reviewer dispositions.

• Oversee structured-product and alternative-investment portfolios.

• Identify restriction-code occurrences, recent purchase trends, and concentration limits.

• Conduct assessments related to periodic reviews, rollover recommendations, and marketing materials.

⛳️ Requirements

• A minimum of 3 years of experience in US securities, broker-dealer, or RIA compliance or supervision.

• Proficient understanding of Reg BI, DOL rollover regulations, FINRA supervisory requirements, suitability, and the SEC Marketing Rule.

• Excellent written judgment and citation discipline.

• Preferred: FINRA Series 7 + 24 (or 9/10) certifications.

• Preferred: IACCP or a similar compliance designation.

• Preferred: Experience in supervising structured products and alternatives.

• Must be located in the US.

• Capability to complete assessment exercises involving periodic reviews, rollover recommendations, and marketing materials.

🏝️ Benefits

• Opportunity for remote work.

• Flexible part-time schedule of approximately 15 hours per week.

• Reasonable accommodations available upon request.