Securities & Wealth-Management Compliance / Supervisory Analyst

What you'll do

The work is a supervision desk on mock files. Each exercise is self-contained: you get a client review, a recommendation or a marketing piece, apply the rules you know, and write the compliance deliverable, which is then graded against a rubric. Outputs are drafts only, and nothing touches a real client book.

The ad describes four kinds of review:

• Periodic client reviews: QA a completed review against a supervision control checklist, cite the specific control behind each deficiency, and write the audit-trail entry
• Reg BI and DOL rollovers: check rollover, trade and new-account attestations against reference procedures and flag non-compliant recommendations with citations
• Communications: review outgoing client communications and marketing against the SEC Marketing Rule and suitability guidelines, and draft the reviewer's disposition
• Structured products and alternatives: supervise the book for restriction-code hits, recent-purchase patterns and concentration thresholds

Who fits

• 3+ years in US securities, broker-dealer or RIA compliance or supervision
• Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability and the SEC Marketing Rule
• Citation discipline: the ad stresses it, and the rubric will too

Nice to have: FINRA Series 7 plus 24 (or 9/10), IACCP or a comparable designation, and structured-products or alternatives supervision.

The assessment mirrors the job: score a periodic review against a checklist, test a rollover against Reg BI, and flag a marketing piece under the Marketing Rule.

What it pays

The listing header shows $100–130 per hour. The ad's own details paragraph says $110–150/hour based on experience and licensing, so the two figures on the same ad disagree. Confirm the rate in your offer before you commit. Registered principals (Series 24 or 9/10) are the likeliest to land at the top of whichever band applies.

About 15 hours a week, remote, US-based. Payments are weekly on Stripe or Wise; H-1B and STEM OPT candidates are not supported.

Worth knowing

Good:

• Among the better-paid compliance listings on Mercor, above the $75–100 AML and KYC analyst role
• Licensing is rewarded explicitly
• 136 hires shown this month, so the project is actively staffing

Less good:

• Conflicting pay figures on the ad itself
• US-based only
• Around 15 hours a week and no stated duration; projects can end early
• Independent contractor

About this listing

Posted by Mercor as a remote hourly contract with a United States location requirement, read on 24 September 2026. Both pay figures, the hours and the review types are the ad's own. The AML side of the same library is the Financial Crime, AML & KYC Analyst listing. See Mercor.