Title: Compliance/Supervision Consultant.
Location: Remote – United States
Duration: ASAP – 12/31/2026
Perks: Competitive Rates, Benefits
Job Description:
We are seeking a detail-oriented Compliance Consultant to support the review and approval of Outside Business Activities (OBAs) and Passive Investments for financial professionals. This is a fully remote, contract opportunity with potential for extension or long-term placement.
This role is ideal for someone with a compliance or financial services background who enjoys working independently, making risk-based decisions, and partnering with stakeholders to ensure regulatory alignment.
What You’ll Do
- Review and approve Outside Business Activities (OBAs) and Passive Investments in accordance with FINRA regulations and company policies
- Identify and assess potential compliance risks, conflicts of interest, and regulatory concerns
- Partner with internal stakeholders and advisors to gather information and ensure accurate approvals
- Communicate effectively via email, phone, and Zoom to coordinate decisions and provide guidance
- Manage a high-volume workload while adhering to service-level expectations
- Leverage internal systems and tools to document and process approvals
What We’re Looking For
- FINRA Series 7 and Series 24 licenses (required)
- 2–3+ years of experience in financial services or a compliance-related role
- Strong ability to work independently and make sound, risk-based decisions
- Excellent communication skills (written and verbal)
- High attention to detail and strong organizational skills
- Ability to manage multiple priorities and pivot as business needs evolve
Preferred Qualifications
- Experience reviewing or approving OBAs and/or Passive Investments
- Familiarity with compliance regulations and advisory environments
- Comfort working in a fast-paced, highly regulated environment
Tools & Environment
- Microsoft Office (Word, Excel), Adobe, SharePoint
- Internal compliance systems and workflow tools
- Zoom and enterprise communication platforms
Additional Details
- Type: Contract (through end of year, with potential to extend)
- Location: Fully remote (U.S. only)
- Team Environment: Collaborative team with strong support structure, while maintaining individual ownership of workload
Why Apply?
- Opportunity to deepen compliance expertise in a highly regulated financial environment
- Exposure to advisory and enterprise-level compliance processes
- Strong potential for long-term engagement or full-time conversion