# Securities & Wealth-Management Compliance / Supervisory Analyst

> Weekday AI · United States (Remote) · Contract · Posted 2026-09-14

**Workplace:** remote

**Department:** AI Training

## Description

**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.

## Apply

[Apply at Weekday AI](https://apply.workable.com/weekday-1/j/C5EB48E5EB/apply)

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