Securities & Wealth-Management Compliance, Supervisory Analyst

Weekday (YC W21)

. Complete self-contained review and supervision exercises from mock files .

Posted 9/15/2026contractRemote • United StatesMid-LevelSenior💰 $110 - $150 per hourWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in US securities compliance, including Reg BI, DOL rollover rules, and SEC Marketing Rule adherence. Proficient in conducting thorough reviews and assessments of compliance deliverables and client communications.

Highest-signal resume keywords

US Securities ComplianceReg BI KnowledgeFINRA Supervisory RequirementsStrong Written JudgmentFINRA Series 7 + 24

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Deliverables ProductionPeriodic Client Review QAAudit-Trail Entry WritingDeficiency FlaggingStructured-Product SupervisionAlternative-Investment SupervisionAssessment Exercise Completion

Soft Skills

Citation Discipline

Certifications & Qualifications

FINRA Series 7FINRA Series 24IACCP

Industry Keywords

Broker-Dealer ComplianceRIA SupervisionSEC Marketing RuleSuitability GuidelinesNon-Compliant Recommendations

About the role

Key responsibilities & impact

Complete self-contained review and supervision exercises from mock files
Produce draft-only compliance deliverables for each exercise
QA completed periodic client reviews against a supervision control checklist
Flag deficiencies with specific control citations and write audit-trail entries
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
Complete assessments involving periodic reviews, rollover recommendations, and marketing pieces

Requirements

What you’ll 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)
Nice to have: IACCP or comparable compliance designation
Nice to have: structured-products / alternatives supervision experience
Must be US-based
Ability to complete assessment exercises involving periodic reviews, rollover recommendations, and marketing pieces

Benefits

Comp & perks

Remote work
Flexible part-time schedule (~15 hours/week)
Reasonable accommodations upon request