Securities & Wealth Management Compliance Analyst

Securities & Wealth Management Compliance Analyst
A remote contract opportunity is available for experienced professionals with a strong background in U.S. securities, broker-dealer, RIA, or wealth-management compliance.
The role involves reviewing simulated compliance and supervisory scenarios, identifying regulatory issues, and preparing clear, well-supported compliance documentation.
Key Responsibilities
• Review completed client and supervisory reviews against established compliance controls.
• Assess investment and rollover recommendations for regulatory and suitability concerns.
• Review client communications and marketing materials for compliance with applicable SEC and industry requirements.
• Identify potential compliance deficiencies and document findings with appropriate regulatory references.
• Review structured products and alternative-investment activity for concentration, restriction, and supervisory issues.
• Provide clear written explanations and reviewer comments.
Required Qualifications
• 3+ years of professional experience in U.S. securities, broker-dealer, RIA, wealth-management, or financial-services compliance.
• Working knowledge of regulations and standards such as:
- Regulation Best Interest (Reg BI)
- FINRA supervisory requirements
- Suitability standards
- SEC Marketing Rule
- DOL rollover requirements
• Strong written communication and analytical skills.
• Ability to interpret compliance requirements and provide precise, well-supported findings.
• Experience working with U.S. financial-services regulatory frameworks.
Preferred Qualifications
• FINRA Series 7 and Series 24, or Series 9/10.
• IACCP or another recognized compliance certification.
• Experience supervising structured products or alternative investments.
• Previous experience in wealth-management or investment-advisory compliance.
Work Details
• Fully remote
• U.S.-based candidates
• Independent contract work
• Approximately 15 hours per week
• Flexible schedule
• Project-based engagement
• Expected compensation: $100–$150 per hour, depending on experience and qualifications
The project duration may vary depending on business needs and performance.
Application & Privacy Notice
By submitting an application, you acknowledge that information provided in your application, including your name, email address, resume/CV, professional experience, and other application details, may be shared with a third-party organization involved in the candidate evaluation and contracting process.
Your information will be used for recruitment, candidate evaluation, communication, and potential onboarding purposes and will be handled in accordance with applicable privacy and data-protection requirements.
The final evaluation, selection, and contracting decisions are made by the hiring organization. Submission of an application does not guarantee selection or employment.

Work arrangement
No