Securities & Wealth-Management Compliance / Supervisory Analyst
Mercor
- Work arrangement & location
- Remote · Current location: United States
- Compensation
- $110-150/hr
- Engagement
- hourly
- Hours
- 15 hours per week
Location and residence requirements
- Current location
- United States
- Law
- Legal
- Manager
- Research & analysis
Employer description and requirements
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.