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

This role supports advisors and clients by reviewing investment transactions, including new accounts, subsequent transactions, and trade monitoring, to ensure compliance with regulatory requirements and company policies. This role offers the opportunity to develop technical expertise in compliance through hands-on experience, while contributing to a culture of accountability, continuous learning, and collaboration.

Responsibilities:

• Review and monitor investment transactions, including new account setups, subsequent transactions, and trade activity, for adherence to compliance regulations and internal policies.
• Support advisors and clients by providing guidance and ensuring compliance standards are met.
• Stay current on relevant regulations, policies, and procedures, applying them accurately in daily tasks.
• Document and escalate potential compliance issues or irregularities as appropriate.
• Collaborate with internal stakeholders to resolve compliance-related matters.
• Contribute to continuous process improvements within compliance monitoring and reporting.

Qualifications

• Bachelor’s degree.
• 2-3 years of experience in the financial services industry.
• Active FINRA Series 7 and 24 registrations.
• Proficiency in Microsoft Word, Excel, Adobe, and SharePoint.
• Strong sense of ownership, accountability, and the ability to work independently.
• Ability to adapt quickly, learn technical subjects, and apply new knowledge effectively

Preferred:

• Advertising compliance experience.

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.