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: [email protected]

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