Jobs / Mercor

Securities & Wealth-Management Compliance / Supervisory Analyst

up to $130/hr

source wording: “100–130 USD HOUR”

Platform: Mercor
Posted: 43d ago · seen live 33 min ago
Eligibility: United States
Except 74 countries Mercor names. Show them
Mercor says it cannot hire residents of 86 countries and regions. The full list is on our Mercor page. Checked 2026-09-05. Check the current list.
To start: Account and CV, then an AI interview of about 20 minutes. Mercor says replies take 2 to 4 weeks.Want to know exactly what the process looks like? Step by step for Mercor.

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The role, as Mercor describes it

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.

Read the rest of the description (9 more paragraphs)

• 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.

Posted by Mercor, reproduced here so you can judge the role before clicking. Original posting ↗

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Source: platform job feed · first seen 6d ago · ID list_AAABn6aRGKpS5pA1RLNHOLTp

Securities & Wealth-Management Compliance / Supervisory Analyst

The role, as Mercor describes it

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