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 will help support their team's main phone queue line, consulting with the financial representatives who are calling in with questions, as well as processing in various team workflows. Training will be provided on compliance regulations and company policies that shape their work.

Responsibilities:

• Support advisors and clients by reviewing investment transactions to ensure compliance with regulations and internal policies
• Review new account activity, subsequent transactions, and trade monitoring activities for adherence to established requirements
• Identify potential compliance risks or policy exceptions and escalate issues as needed
• Apply compliance guidance, procedures, and training materials to daily transaction review workflows
• Work effectively with limited information while maintaining appropriate due diligence and accuracy
• Continuously build knowledge of regulatory requirements and company policies through ongoing learning and feedback

Skills and Qualifications:

• Bachelor’s degree required
• 2–3 years of financial industry experience
• Series 7 and Series 24 registrations required
• Strong critical thinking and problem-solving skills
• Strong written and verbal communication skills
• Self-directed learner with strong ownership and accountability
• Ability to work quickly while maintaining attention to detail and due diligence
• Openness to feedback and a continuous learning mindset

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.