Remote Jobs RockRemote Jobs Rock

Securities & Wealth-Management Compliance / Supervisory Analyst

๐Ÿ“… Sep 14
Securities ComplianceBroker-dealer ComplianceRIA ComplianceReg BI
Apply Now

๐Ÿ“œ Description

  • QA periodic client reviews against supervision checklists, cite deficiencies, and document audit-trail entries.
  • Review Reg BI and DOL rollover, trade, and new-account attestations against reference procedures.
  • Assess client communications and marketing materials against the SEC Marketing Rule and suitability guidelines.
  • Supervise structured-product and alternative-investment books for restriction-code hits, purchase patterns, and concentration thresholds.

๐Ÿ› ๏ธ 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.
  • FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.
Full job description

This role is for one of our clients

Compensation: $100 - $130 per hour

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.

Requirements

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.

We consider all qualified applicants without regard to legally protected characteristics and provide reasonable accommodations upon request.

Sentinel Blue

CMMC Compliance Analyst

๐Ÿ•’ yesterday
Sentinel Blue๐Ÿ‘ฅ 11 - 50 employees๐Ÿข Information Technology And Services

Support client CMMC and NIST compliance engagements by reviewing evidence and technical configurations, maintaining audit-readiness documentation, identifying gaps, and communicating clear remediation guidance.

CMMCNIST 800-171DFARS 7012GRC
Del Oro Consulting

Partner Compliance Manager

๐Ÿ•’ 3 days ago
Del Oro Consulting๐Ÿ‘ฅ 51 - 200 employees๐Ÿข Internet

Evaluates partner customer success capabilities against maturity standards by auditing documentation, translating qualitative evidence into defensible assessments, and communicating findings to partners and stakeholders.

Compliance AuditingDocument ReviewQuality AssuranceOperational Auditing
Santen

[Japan] Specialist, Japan Compliance Promotion

๐Ÿ•’ 3 days ago
Santen๐Ÿ‘ฅ 1001 - 5000 employees๐Ÿข Pharmaceuticals

ไผๆฅญๆฆ‚่ฆ Santenใฏใ€็œผ็ง‘ๅŒป็™‚ใซ็‰นๅŒ–ใ—ใŸ130ๅนดใฎๆญดๅฒใ‚’ๆŒใค่ฃฝ่–ฌไผๆฅญใงใ™ใ€‚ๆ—ฅๆœฌ็™บใฎใ‚ฐใƒญใƒผใƒใƒซไผๆฅญใจใ—ใฆ60ใ‚ซๅ›ฝไปฅไธŠใซๆ‹ ็‚นใ‚’ๆŒใกใ€็›ฎใฎๅฅๅบทใฎใŸใ‚ใซๆง˜ใ€…ใช้ฉๆ–ฐ็š„ใชๆฒป็™‚ๆณ•ใจใƒ‡ใ‚ธใ‚ฟใƒซใ‚ฝใƒชใƒฅใƒผใ‚ทใƒงใƒณใ‚’ๆไพ›ใ—ใ€ไธ–็•Œไธญใฎไบบใ€…ใฎ่ฆ–่ฆšใซ้–ขใ‚ใ‚‹็คพไผšๅ•้กŒใซๅ–ใ‚Š็ต„ใ‚“ใงใ„ใพใ™ใ€‚.

ใ‚ณใƒณใƒ—ใƒฉใ‚คใ‚ขใƒณใ‚นๅŒป่–ฌๅ“ๆฅญ็•Œ่ฆๅˆถๅŒป็™‚ๆฉŸๅ™จๆฅญ็•Œ่ฆๅˆถๅŒป็™‚็”จๅŒป่–ฌๅ“ๅ…ฌๆญฃ็ซถไบ‰่ฆ็ด„
Lumin Digital

Audit & Assurance Specialist

๐Ÿ•’ 4 days ago
Lumin Digital๐Ÿข Financial Technology๐Ÿค B2B

Design and test security and compliance controls, coordinate internal and external audits, manage remediation tracking, and support client assurance and AI governance across regulated frameworks.

GRCSOC 2PCI DSSISO 27001
IQ-EQ

Manager - Regulatory Compliance (Alternative Assets)

๐Ÿ•’ 2 days ago
IQ-EQ๐Ÿ‘ฅ 1001 - 5000 employees๐Ÿข Financial Services

Manage client compliance engagements across investment sectors, delivering regulatory guidance, filings, policy updates, training, and examination support while mentoring junior staff and improving compliance programs.

Regulatory ComplianceInvestment Advisers Act Of 1940Investment Company Act Of 1940SEC Examinations

Trusted by Remote Workers