Securities Compliance Analyst - Expert

About the job

Mercor connects elite creative and technical talent with leading AI research labs. Headquartered in San Francisco, our investors include Benchmark, General Catalyst, Peter Thiel, Adam D'Angelo, Larry Summers, and Jack Dorsey.

Position: Securities & Wealth-Management Compliance / Supervisory Analyst
Type:Contract
Compensation:$100–$130/hour
Location:Remote
Commitment:15 hours/week

Role Responsibilities

• Evaluate 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.

Qualifications

Must-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.

Preferred

• FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.

Application Process (Takes 20–30 mins to complete)

• Upload resume
• AI interview based on your resume
• Submit form

Resources & Support

• For details about the interview process and platform information, please check: https://talent.docs.mercor.com/welcome
• For any help or support, reach out to: support@mercor.com

PS: Our team reviews applications daily. Please complete your AI interview and application steps to be considered for this opportunity.