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
Blockchain • eCommerce • Fintech • Payments • Software • Financial Services • Cryptocurrency
Leads ambiguous, high-impact revenue strategy initiatives from analysis through executive recommendation. Responsibilities include sales forecasting, pipeline health measurement, capacity planning, organizational sizing, commercial deal economics, partnership modeling, and building scalable operating processes. The role partners cross-functionally with Sales, Finance, Partnerships, Services, Data, and Systems, influencing outcomes without direct authority.
Top Skills:
ExcelGoogle SheetsSQL
Blockchain • eCommerce • Fintech • Payments • Software • Financial Services • Cryptocurrency
Lead the architecture and evolution of native iOS foundations supporting seller-facing applications. Identify systemic problems, define platform strategy and standards, build prototypes and reference implementations, lead multi-quarter migrations, and establish practices for quality, testing, observability, release safety, and maintainability. Develop senior engineers and create scalable ownership models across teams.
Top Skills:
Ai-Assisted Development ToolsBazelCombineInstrumentsObjective-CObservability ToolsProtocol BuffersSwiftSwift ConcurrencySwiftuiTesting InfrastructureUikitXcode
Cloud • Fintech • Information Technology • Machine Learning • Software • App development • Generative AI
Drive new business sales for BlackLine’s SaaS platform to mid-market accounting and finance teams. Responsibilities include prospecting, pipeline development, quota attainment, discovery, presentations, negotiations, forecasting, Salesforce documentation, territory planning, and collaboration on RFPs, demos, contracts, and implementations. The role requires selling finance or accounting software, building executive relationships, traveling within North America, and maintaining customer satisfaction.
Top Skills:
Blackline ApplicationsSaaSSalesforce
What you need to know about the Colorado Tech Scene
With a business-friendly climate and research universities like CU Boulder and Colorado State, Colorado has made a name for itself as a startup ecosystem. The state boasts a skilled workforce and high quality of life thanks to its affordable housing, vibrant cultural scene and unparalleled opportunities for outdoor recreation. Colorado is also home to the National Renewable Energy Laboratory, helping cement its status as a hub for renewable energy innovation.
Key Facts About Colorado Tech
- Number of Tech Workers: 260,000; 8.5% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Lockheed Martin, Century Link, Comcast, BAE Systems, Level 3
- Key Industries: Software, artificial intelligence, aerospace, e-commerce, fintech, healthtech
- Funding Landscape: $4.9 billion in VC funding in 2024 (Pitchbook)
- Notable Investors: Access Venture Partners, Ridgeline Ventures, Techstars, Blackhorn Ventures
- Research Centers and Universities: Colorado School of Mines, University of Colorado Boulder, University of Denver, Colorado State University, Mesa Laboratory, Space Science Institute, National Center for Atmospheric Research, National Renewable Energy Laboratory, Gottlieb Institute
