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.
Skills Required
- 3+ years of experience in US securities, broker-dealer, RIA compliance, or supervision
- Working knowledge of Reg BI
- Working knowledge of DOL rollover rules
- Working knowledge of FINRA supervisory requirements
- Working knowledge of suitability requirements
- Working knowledge of the SEC Marketing Rule
- Strong written judgment and citation discipline
- FINRA Series 7 and 24, or Series 9/10
- IACCP or comparable compliance designation
- Structured-products or alternatives supervision experience
What We Do
Weekday is an AI-powered recruitment platform that helps startups hire top-tier engineering and product talent. By leveraging a massive database of white-collar professionals and advanced outreach tools, the company streamlines the hiring process through automated sourcing, AI-driven resume screening, and white-glove contingency services. Their mission is to modernize recruitment by enabling companies to discover and engage passive candidates efficiently, ensuring high-quality hires for critical roles.
