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Securities & Wealth-Management Compliance / Supervisory Analyst (Remote) | $100–$130/Hour | Contractor

This remote Securities & Wealth-Management Compliance / Supervisory Analyst job is intended for professionals with hands-on experience in U.S. securities, broker-dealer, or RIA compliance and supervision. Contractors complete self-contained review and supervision exercises drawn from mock files and produce graded compliance deliverables.

Project Details

This project is designed for individuals who already perform supervisory and compliance review work in the U.S. securities and wealth-management space. The work focuses on applying established regulatory standards to mock client files, communications, and account documentation in order to generate accurate, citation-backed compliance outputs.

The role is structured as an independent contractor engagement. It is fully remote and limited to applicants based in the United States. Expected time commitment is approximately 15 hours per week; exact duration, schedule flexibility, and other terms should be confirmed during onboarding. Explore more remote WFA jobs for additional work-from-anywhere opportunities.

APPLY HERE

Job Information

  • Responsibilities: Conduct quality-assurance reviews of completed periodic client reviews against supervision control checklists; flag deficiencies with specific control citations and prepare audit-trail entries. Review Reg BI, DOL rollover, trade, and new-account attestations against reference procedures and flag non-compliant recommendations with citations. Evaluate outgoing client communications and marketing materials against the SEC Marketing Rule and suitability guidelines, then draft reviewer dispositions. Supervise structured-product and alternative-investment books, identifying restriction-code hits, recent-purchase patterns, and concentration-threshold issues.
  • Qualifications: Minimum three years of experience in U.S. securities, broker-dealer, or RIA compliance or supervision. Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability standards, and the SEC Marketing Rule. Demonstrated ability to exercise clear written judgment and maintain rigorous citation discipline.
  • Technical Skills: Ability to apply multi-page control checklists and regulatory rubrics consistently; produce draft-only compliance deliverables; identify and document deficiencies with precise regulatory or procedural citations.
  • Language and Schedule: English. Flexible, self-scheduled work within the stated weekly hour range; applicants should confirm availability expectations during the hiring process.
  • Contract Type: Independent contractor, hourly, project-based. Engagement length may be extended, shortened, or concluded based on project needs and performance.

Compensation

Pay is $100–$130 per hour. Payment cycle and method should be confirmed during the application and onboarding process.

Who Should Apply

Ideal candidates are current or recent practitioners who have performed supervisory reviews, periodic client-file examinations, or communications surveillance in a U.S. broker-dealer or registered investment adviser setting. Strong written reasoning that cites specific regulatory provisions or firm procedures is essential.

Experience with AI evaluation, data annotation, RLHF, or rubric-based grading is a plus but not required. Professionals exploring AI Training Jobs can also review related opportunities available through RemoteWFAJobs.

How to Apply

  1. Review the responsibilities and qualifications listed above to confirm alignment with your background.
  2. Prepare a clear summary of relevant securities/compliance or supervision experience, including any applicable licenses or designations.
  3. Submit the application via APPLY HERE and confirm all details (hours, compensation, location eligibility, and contractor terms) during the hiring process.

FAQ

Is previous securities or compliance experience required?

Yes. A minimum of three years in U.S. securities, broker-dealer, or RIA compliance or supervision is required, along with working knowledge of the core regulations listed above.

Is a degree necessary?

A formal degree is not specified as a requirement. Demonstrated professional experience and regulatory knowledge are the primary criteria.

How many openings are available?

The number of openings is not stated in the source listing and should be confirmed during the application process.

Closing

This contractor opportunity offers experienced U.S. securities and wealth-management compliance professionals a flexible, remote way to apply supervisory review skills to structured exercises. For more opportunities, browse RemoteWFAJobs remote positions and explore the available AI Training Jobs.

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