Title: Compliance/Supervision Consultant.
Location: Remote – United States
Duration: ASAP – August 2026 (possible extension)
Perks: Competitive Rate and Benefits
Job Description:
As a Compliance/Supervision Consultant, you will play a key role in supporting our financial advisors and clients by reviewing a variety of investment-related activities—including new account openings, subsequent transactions, and ongoing trade monitoring—to ensure compliance with regulatory requirements and internal policies.
In this consultative role, you will primarily support advisors as they contact our team, offering guidance on policies, procedures, and best practices to help them manage their business effectively and compliantly.
We will provide comprehensive training on compliance regulations and company policies. What we’re looking for is someone who is eager to learn, able to absorb technical content, and ready to apply that knowledge with confidence, professionalism, and sound judgment.
What Makes You a Great Fit
You will excel in this role if you:
- Are a self-directed learner with a strong sense of ownership and accountability
- Can move quickly while applying appropriate due diligence—even when information is limited
- Embrace learning, constructive feedback, and continuous development
- Communicate with clarity, empathy, and active listening
- Bring a service-oriented mindset to every interaction
Required Qualifications
- Bachelor’s degree
- 2–3 years of experience in the financial services industry
- Active Series 7/24
- Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
- Advertising compliance experience is a plus
Key Skills
- Active listening
- Compassionate and empathetic client support
- Strong service orientation
- Ability to interpret and apply policies consistently
- Problem-solving with sound regulatory judgment