Agency Brand Design Expert
$80 - $150 / hour
Verified partner opportunity
$100 - $130 / hour
About the work We're building a high-quality library of US securities- and wealth-compliance work products.
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. • 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.
This opportunity may suit professionals with relevant experience in Marketing. Review the official description and requirements before applying.
The listing states $100 - $130 / hour. Confirm the final rate, workload, and payment terms during the official application process.
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The listing states $100 - $130 / hour. Confirm the final rate, workload, and payment terms during the official application process.
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