We are looking for Securities & Wealth-Management Compliance / Supervisory Analyst candidates for a project delivered through Mercor.
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.
What you need
- 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.
Expertise
Who you work with
Project and contracting process: Mercor. Applications continue on the provider's website.