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Remote Securities & Wealth-Management Compliance / Supervisory Analyst - AI Trainer ($100-$130 perMercor • Lauderhill, Florida, US
Remote Securities & Wealth-Management Compliance / Supervisory Analyst - AI Trainer ($100-$130 per

Remote Securities & Wealth-Management Compliance / Supervisory Analyst - AI Trainer ($100-$130 per

Mercor • Lauderhill, Florida, US
Hace 12 días
Tipo de contrato
  • A tiempo completo
  • Teletrabajo
Descripción del trabajo
  • About the work 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. 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.
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Remote Securities & Wealth-Management Compliance / Supervisory Analyst - AI Trainer ($100-$130 per hour) • Lauderhill, Florida, US