Securities & Wealth-Management Compliance, Supervisory Analyst

Job not on LinkedIn

🔥 2 minutes ago

🇺🇸 United States – Remote

💵 $110 - $150 / hour

⏳ Contract/Temporary

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 20%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Weekday (YC W21)

WebsiteLinkedInAll Job Openings

11 - 50 employees

Founded 2021

💼 Consulting

👥 HR Tech

☁️ SaaS

Consulting • HR Tech • SaaS

Weekday is a modern recruitment platform that combines AI technologies with a vast database of potential candidates, aiming to streamline the hiring process for companies in India. They offer various services, including a proactive outreach approach that helps employers connect with top talent, as well as tools for candidates to easily apply for jobs. Weekday's emphasis on candidate engagement through multiple channels, including email, WhatsApp, and phone calls, sets it apart in the competitive landscape of recruitment agencies.

📋 Description

• Complete self-contained review and supervision exercises from mock files • Produce draft-only compliance deliverables for each exercise • QA completed periodic client reviews against a supervision control checklist • Flag deficiencies with specific control citations and write audit-trail entries • 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 • Complete assessments involving periodic reviews, rollover recommendations, and marketing pieces

🎯 Requirements

• 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) • Nice to have: IACCP or comparable compliance designation • Nice to have: structured-products / alternatives supervision experience • Must be US-based • Ability to complete assessment exercises involving periodic reviews, rollover recommendations, and marketing pieces

🏖️ Benefits

• Remote work • Flexible part-time schedule (~15 hours/week) • Reasonable accommodations upon request