Reviews securities and wealth-management compliance work products, including periodic client reviews, Reg BI and DOL rollover attestations, marketing communications, and structured-product or alternative-investment supervision. Identifies deficiencies, cites applicable controls and regulations, drafts audit-trail entries and reviewer dispositions, and evaluates compliance with FINRA, SEC, suitability, and supervisory requirements.
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.
Similar Jobs
Artificial Intelligence • Marketing Tech • Software • Generative AI • Automation
Partner with enterprise customers to define AI transformation strategies, identify high-value use cases, drive organizational adoption, and realize measurable business outcomes. Build executive relationships, create multi-quarter success plans, track value realization, remove barriers, coordinate internal teams, influence product priorities, manage escalations, and develop customer advocacy programs. This fully remote role focuses on strategic customer outcomes rather than renewals, pricing, or contracting.
Top Skills:
Ai AgentsGenerative AiJasper
Cloud • Security • Software • Cybersecurity • Automation
Leads GitLab’s global People Operations and Compliance function, setting its strategic roadmap, scaling and automating employee lifecycle processes, establishing service standards and metrics, managing case management, overseeing global mobility and employment compliance, supporting global expansion, and developing a high-performing international team. The role partners broadly across People, Legal, Payroll, IT, Procurement, and Internal Audit while optimizing Workday, Greenhouse, and related systems.
Top Skills:
AIAtsAutomationCase Management PlatformsGreenhouseHrisWorkday
Artificial Intelligence • Cloud • Information Technology • Consulting
Leads complex, cross-functional client management projects from planning through implementation. Responsibilities include coordinating global workstreams, tracking milestones, dependencies, risks, budgets, and forecasts; managing stakeholder relationships and internal and external teams; providing executive reporting and escalation; improving project management processes; and mentoring team members. The role supports Mega Account engagements within HPE Networking and requires strong project governance and PMP expertise.
What you need to know about the Chicago Tech Scene
With vibrant neighborhoods, great food and more affordable housing than either coast, Chicago might be the most liveable major tech hub. It is the birthplace of modern commodities and futures trading, a national hub for logistics and commerce, and home to the American Medical Association and the American Bar Association. This diverse blend of industry influences has helped Chicago emerge as a major player in verticals like fintech, biotechnology, legal tech, e-commerce and logistics technology. It’s also a major hiring center for tech companies on both coasts.
Key Facts About Chicago Tech
- Number of Tech Workers: 245,800; 5.2% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: McDonald’s, John Deere, Boeing, Morningstar
- Key Industries: Artificial intelligence, biotechnology, fintech, software, logistics technology
- Funding Landscape: $2.5 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Pritzker Group Venture Capital, Arch Venture Partners, MATH Venture Partners, Jump Capital, Hyde Park Venture Partners
- Research Centers and Universities: Northwestern University, University of Chicago, University of Illinois Urbana-Champaign, Illinois Institute of Technology, Argonne National Laboratory, Fermi National Accelerator Laboratory
