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Securities & Wealth-Management Compliance / Supervisory Analyst

$100–$130/h

United States

Catalogue update: this role is no longer listed in the current Mercor catalogue. Browse current AI Training opportunities.

About the role

Create securities-compliance and supervisory work products from simulated records. Your assessments will form a structured collection of examples of professional compliance judgment.

Skills and focus areas

Compliance · Auditing · Securities & Wealth-Management Compliance · Supervisory Analyst

What you will do

  • Check client reviews and account attestations against supervisory controls.
  • Identify problematic rollover or investment recommendations and cite the governing procedure.
  • Assess marketing and client communications for compliance issues.
  • Review exposure restrictions and concentration risks in investment books.

Experience and requirements

  • At least three years supervising or reviewing US broker-dealer, RIA or securities activity.
  • Knowledge of applicable FINRA, suitability, Reg BI and marketing requirements.
  • Precise written analysis with a clear audit trail.
  • Relevant FINRA or compliance credentials are advantageous.

Working arrangements

  • Outputs are draft exercises using mock materials.

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Future of work · September 2026

How big is the remote / hybrid opportunity?

Remote work is already huge — but the bigger story may be the hundreds of millions of jobs that could still move beyond geography.

Global remote and hybrid work opportunity infographic

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The interesting number is not only how many people work remotely today — it is how many roles could plausibly become remote or hybrid next.

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Explore remote opportunities →