Job Description
Employer Industry: Financial Services Compliance Why consider this job opportunity: -
Salary up to $45/hour - Fully remote work opportunity - Long-term contract stability with full-time hours - Exposure to diverse investment products and cutting-edge supervision platforms - Collaborative national compliance team environment - Opportunity to influence the integrity of financial markets and protect investors What to Expect (Job Responsibilities): - Review securities transactions for suitability using electronic trade blotters - Investigate alerts in brokerage and advisory accounts through supervision systems - Approve account documents and outgoing correspondence per FINRA/SEC rules - Analyze trade patterns to identify potential sales practice violations - Collaborate with senior supervisory staff on escalations and resolutions What is Required (Qualifications): - Active FINRA Series 24 license required - Active FINRA Series 63 license required - Minimum of 5 years in compliance, supervision, or broker-dealer operations - Strong understanding of mutual funds, annuities, MSRB, and general securities - Working knowledge of SEC, FINRA, MSRB, and state regulatory frameworks How to Stand Out (Preferred Qualifications): - Experience supervising municipal bonds and 529 Plans - Confident regulatory decision-maker under pressure - Familiarity with OSJ/HOS supervision and multi-tiered compliance #FinancialServices #Compliance #RemoteWork #
CareerOpportunity #InvestorProtection Apply tot his job