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.

Responsibilities:

• Review new and existing annuity applications to ensure compliance with regulatory requirements
• Evaluate recommendations for adherence to suitability and supervision standards
• Support advisor and client inquiries through the annuity supervision phone queue
• Provide guidance to field partners on annuity-related questions and processes
• Maintain accurate documentation and review records for compliance purposes
• Collaborate with internal teams to resolve application and regulatory issues
• Apply due diligence when assessing applications and recommendations
• Support ongoing process improvements and compliance initiatives

Skills and Qualifications:

• Bachelor’s degree
• 2-3 years of experience in the financial services industry
• Series 6/26 or Series 7/24 licenses required
• Strong understanding of annuities and regulatory compliance requirements
• Strong attention to detail and analytical skills
• Excellent verbal and written communication skills
• Ability to work independently with a strong sense of ownership
• Ability to manage multiple tasks in a fast-paced environment
• Strong problem-solving and decision-making skills
• Willingness to learn and adapt to evolving regulations and processes

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.