Securities & Wealth-Management Compliance / Supervisory Analyst
Securities & Wealth-Management Compliance / Supervisory Analyst is an open role at Mercor Experts, available remotely, with pay listed as $100–$130/hr.
Applications open on Mercor Experts’s own site. How we make money.
About this role
**About the work** We're building a high-quality library of US securities- and wealth-compliance work products. You'll complete self-contained review and supervision exercises from mock files and produce the compliance deliverable for each, graded against a rubric. Draft-only outputs. **What you'll do** - QA completed periodic client reviews against a supervision control checklist; flag deficiencies with specific control citations and write the audit-trail entry. - Review Reg BI / DOL rollover and trade / new-account attestations against reference procedures; flag non-compliant recommendations with citations. - Review outgoing client communications and marketing pieces against the SEC Marketing Rule and suitability guidelines; draft reviewer dispositions. - Supervise structured-product and alternative-investment books; flag restriction-code hits, recent-purchase patterns, and concentration thresholds. **You're a fit if you have** - 3+ years in US securities / broker-dealer / RIA compliance or supervision. - Working knowledge of Reg BI, DOL rollover rules, FINRA supervisory requirements, suitability, and the SEC Marketing Rule. - Strong written judgment and citation discipline. **Nice to have** - FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience. **Assessment** Score a periodic review against a control checklist; review a rollover recommendation against Reg BI; flag a marketing piece against the SEC Marketing Rule. **Details** Contract, hourly (~15 hrs/week), remote, US-based. Pay $110-150/hr based on experience and licensing.
Pay
$100–$130/hr
About Mercor Experts
Mercor Experts's connection to Mercor: Direct expert network. Law, medicine, finance, engineering, operations and AI evaluation
Ownership confidence: Confirmed. See the full network profile →
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Frequently asked questions
How do I apply for the Securities & Wealth-Management Compliance / Supervisory Analyst role at Mercor Experts?
Applications go through Mercor Experts's own portal - HumanSourcer links to the listing and never collects applications or handles hiring. Mercor Experts's access model is "Apply" (Profile / role application). This listing was first seen here on July 28, 2026 and was still live at the last check.
Is the Securities & Wealth-Management Compliance / Supervisory Analyst role at Mercor Experts remote?
Yes - Mercor Experts lists this role as remote.
What does the Securities & Wealth-Management Compliance / Supervisory Analyst role at Mercor Experts pay?
Mercor Experts lists this role's pay as $100–$130/hr, quoted from the listing rather than estimated.
What kind of work is Securities & Wealth-Management Compliance / Supervisory Analyst?
Research / analysis. Law, medicine, finance, engineering, operations and AI evaluation
Is Mercor Experts a legitimate AI-training platform?
Direct expert network - and that relationship is rated "Confirmed" here because it can be checked against www.mercor.com rather than taken on Mercor Experts's word. Confidence describes how well the ownership is evidenced. It is not a rating of how the platform treats the people who work for it, which no public source covers reliably.
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