Compliance Specialist, Series 7/24 or 9/10, (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 Specialist on a contract basis to help support their ongoing business needs. This role is 100% remote and requires active Series 7/24 or 9/10 registrations.

Responsibilities:

• Support advisors and clients in reviewing investment transactions (new accounts, subsequent transactions, monitoring trades) to ensure compliance with regulations and company policies.
• Provide consultative support to financial advisors regarding policies, procedures, and business practices.
• Assist advisors as they call in, offering guidance and solutions to maintain compliance.
• Apply a consultative approach to support business needs while ensuring adherence to compliance standards.
• Engage in continuous learning of compliance regulations and policies to effectively support advisors and clients.

Qualifications

• Bachelor’s degree.
• 2–3 years of financial industry experience.
• Series 7/24 or 9/10 registrations (9/10 preferred).
• Proficiency with Microsoft Word, Excel, Adobe, and SharePoint.
• Advertising compliance experience preferred.
• Self-directed learner with strong ownership and accountability.
• Ability to work quickly while applying due diligence in situations with limited information.
• Openness to feedback, risk-taking, and continuous personal development.

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.