Securities & Wealth-Management Compliance / Supervisory Analyst
$100 to $130/hIndicative range provided by Mercor
Posted on July 28, 2026 · Applications until October 19, 2026
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The analyst evaluates mock client reviews, trade attestations, marketing materials, and alternative investment portfolios against regulatory frameworks. Candidates need three or more years of US securities compliance experience and working knowledge of Reg BI, FINRA rules, and the SEC Marketing Rule.
Description in English, as published by Mercor.
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
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QA completed periodic client reviews against a supervision control checklist; flag deficiencies with specific control citations and write the audit-trail entry.
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Review Reg BI / DOL rollover and trade / new-account attestations against reference procedures; flag non-compliant recommendations with citations.
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Review outgoing client communications and marketing pieces against the SEC Marketing Rule and suitability guidelines; draft reviewer dispositions.
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Supervise structured-product and alternative-investment books; flag restriction-code hits, recent-purchase patterns, and concentration thresholds.
You're a fit if you have
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3+ years in US securities / broker-dealer / RIA compliance or supervision.
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Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC Marketing Rule.
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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.
28 openings
About Mercor
Mercor is a US marketplace hiring remote experts for AI and consulting projects, from law to engineering. The original posting is on their site.
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