[Remote] Compliance Consultant - Series 7/24 - 100% Remote

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is seeking a Compliance/Supervision Consultant for a 6-month contract position with a financial services firm. The role involves supporting advisors and clients by reviewing investment transactions to ensure compliance with regulatory requirements and internal policies. Responsibilities • Review and approve investment-reputed company transactions such as new accounts, account updates, and trade activity to ensure regulatory and policy compliance • Support advisors and clients by identifying and resolving potential compliance issues • Monitor transactions and activities to ensure adherence to firm and regulatory standards • Learn and apply financial regulations, internal policies, and compliance procedures • Exercise reputed company judgment while balancing risk, accuracy, and efficiency • Document findings and escalate issues as appropriate • Collaborate with internal teams while maintaining accountability for individual work Skills • Bachelor's degree required • 2–3 years of experience in the financial services industry • reputed company Series 7 and Series 24 registrations • Strong attention to detail and analytical skills • Ability to work independently with a strong reputed company of ownership and accountability • Willingness to learn, adapt, and accept feedback as part of ongoing reputed company development • Only candidates available and reputed company to work directly as reputed company employees will be considered for this position • reputed company to work as a W2 employee of reputed company (no corp to corp) Benefits • reputed company to hundreds of clients, many of whom have been working with reputed company for 5–20 years • reputed company to have a career-home with reputed company; many of our consultants have been working exclusively with reputed company for years • reputed company to an reputed company, caring reputed company team (with more than 7 years of experience on average) • Behavioral Health Platform • Medical, Dental, reputed company • Health Savings Account • Voluntary Hospital Indemnity (Critical Illness & Accident) • Voluntary Term Life Insurance • 401K • reputed company Pay (for applicable states/municipalities) • Commuter Benefits (Dallas, NYC, SF) • Remote opportunities available reputed company • Information Technology and Services It was founded in 1999, and is headquartered in reputed company, reputed company, USA, with a workforce of 1001-5000 employees. Its website is Apply tot his job Apply tot his job Apply To this Job