Compliance Consultant (100% Remote)

Our Customer is an American financial services mutual organization based in Milwaukee. The financial security company provides consultation on wealth and asset income protection, education planning, retirement planning, investment advisory services, financial planning trust and private client services, estate planning and business planning. Its products include life insurance, permanent life insurance, disability income, and long-term care insurance; annuities; investments; and investment advisory products and services.

Our customer is looking for a Compliance Consultant on a contract basis to help support their ongoing business needs. This role is 100% remote.

This role is responsible for supporting staff and advisors in the review and approval of Outside Business Activities (OBAs) and Passive Investments in accordance with FINRA regulations and company policies. Responsibilities include ensuring compliance with established guidelines, maintaining accurate documentation, and supporting regulatory review processes.

The position requires a strong willingness to learn technical compliance concepts and apply them effectively within daily operations. Success in this role depends on the ability to combine analytical thinking, attention to detail, and professional judgment with evolving knowledge of compliance regulations and internal policies.

Responsibilities:

• Review and approve Outside Business Activities (OBAs) and Passive Investments in compliance with FINRA regulations and internal policies
• Evaluate advisor contracts and outside business activity requests for potential conflicts and compliance risks
• Apply risk-based decision-making while ensuring adherence to compliance standards and operational procedures
• Coordinate with staff, advisors, and internal stakeholders through email, phone, compliance portals, Zoom, and internal communication platforms
• Maintain high attention to detail while processing compliance-related requests and documentation
• Meet established service level agreements while balancing flexibility when necessary
• Utilize internal systems and compliance tools to track, review, and manage requests
• Work independently while collaborating with team members through regular touchpoints and communication channels
• Support compliance operations while maintaining confidentiality and professionalism
• Learn and apply compliance regulations, policies, and technical subject matter related to financial industry practices

Skills and Qualifications:

• 2-3 years of financial industry experience
• FINRA Series 7 and Series 24 registrations required
• Experience in compliance, risk management, or regulatory review environments preferred
• Strong attention to detail and process adherence skills
• Ability to identify potential conflicts or risks and make sound risk-based decisions
• Strong written and verbal communication skills
• Experience coordinating with stakeholders through email, phone, and internal systems
• Ability to work independently while collaborating effectively within a team environment
• Strong organizational and time management skills
• Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
• Ability to quickly learn compliance regulations, policies, and procedures
• Experience using compliance portals, enterprise communication tools, and collaboration platforms preferred
• Self-directed learning mindset with strong ownership and accountability skills

We offer a competitive salary range for this position. Most candidates who join our team are hired at the median of this range, ensuring fair and equitable compensation based on experience and qualifications.

Contractor benefits are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements) Benefits include: Medical, Dental, Vision, 401k.

An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.