Securities & Wealth-Management Compliance / Supervisory Analyst

Weekday AI

3d • $110 - $150 • Remote

About The Position

This role involves building a high-quality library of US securities- and wealth-compliance work products. The analyst will complete self-contained review and supervision exercises from mock files and produce compliance deliverables for each, graded against a rubric. Outputs will be draft-only.

Requirements

• 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 Haves

• FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.

Responsibilities

• 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.

What This Job Offers

• Job Type: Part-time
• Career Level: Mid Level
• Education Level: No Education Listed