Compliance/Supervision Consultant (100% Remote) 4774

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/Supervision Consultant on a contract basis to help support their business needs. This role is 100% remote.

At the core of this role, you’ll be supporting the staff and advisors in reviewing and approving Outside Business Activities (OBA's) and Passive Investments in compliance with FINRA regulations and Firm policy. Don’t worry, the Customer is ready and able to teach you about compliance regulations and company policies that shape their work. What they need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.

Thrive as a self-directed learner with a strong sense of ownership and accountability. Move quickly with enough due diligence to identify potential conflicts or risks and then make risk based decisions.

Skills and Qualifications:

• Bachelor's degree
• 2-3 years of financial industry experience
• Series 7/24 (Series 9/10 are a plus) registrations
• Experience with Microsoft Word/Excel, Adobe, & SharePoint

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.

Please Note: In order to create a safe, productive work environment, our client is requiring all contractors who plan to be onsite to be fully vaccinated according to the CDC guidelines. Prior to coming into our offices, contractors will be required to attest that they are fully vaccinated.

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.