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Securities & Wealth-Management Compliance / Supervisory Analyst

Listed pay: $100to 130 / hr

What the posting lists, in US dollars an hour, before anything Mercor deducts.

30 openings on this one listing.

How to apply
Platform
Mercor
Terms
Contract, part-time
Location
United States
Posted
· 1 month ago
Status
Open at the last check

Applying on Mercor

Apply on Mercor

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Red Pen Jobs is independent. We are not affiliated with, endorsed by, or acting for Mercor in any way, and we do not recruit on its behalf.

What happens after you click

  1. The link opens this role on Mercor. Sign up and apply from there.
  2. Upload a resume, complete the assessments the role asks for and verify your work authorisation.
  3. An AI interview of about 20 minutes. Mercor says it usually takes 2 to 4 weeks to hear back.
  4. If Mercor hires you, you are paid weekly, on the Wednesday after each work week, via Stripe. Mercor says first payouts are held for 7 days.
  5. The work is paid by the hour, at the $100–130 this posting lists.
  6. Remote, but this posting limits it to United States.

What the work is

About the work 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.

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.

From the Mercor listing.