Title: Compliance/Supervision Consultant.

Location: Remote

Duration: through July 2026, possible extension

Job Description: At the core of this role, you will be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies. You will do this through primarily supporting our financial advisors as they call in to our team and providing consultative support to our policies, procedures, and helping them with their business.

We will train you on compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.

What makes you a great fit for our team?

• Thrive as a self-directed learner with a strong sense of ownership and accountability
• Move quickly with enough due diligence to work with and around limited information Learn, take risks, and be open to feedback as part of personal learning and development

What are the must haves for this role?

• Bachelor’s degree 2-3 years of financial industry experience
• Series 7/24 or 9/10 registrations. (9/10 preferred)
• Experience with Microsoft word/excel, adobe, & SharePoint Advertising compliance experience preferred
• Must have skills: Active Listening; compassionate and empathetic support; Service Oriented