Compliance Consultant with Series 7/24

Location: Remote

Compensation: To Be Discussed

Reviewed: Thu, Apr 30, 2026

This job expires in: 30 days

Job Category: Consulting

Employment Status: Permanent, Independent Contractor

Employer Type: Staffing Agency

Career Level: Experienced

Education Level: Bachelors

Job Summary

A company is looking for a Compliance/Supervision Consultant.

Key Responsibilities

Support financial advisors and clients in reviewing investment transactions for compliance with regulations and company policies
Provide consultative support to advisors regarding policies and procedures
Monitor trades and assist in the overall compliance process

Required Qualifications

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, and SharePoint
Advertising compliance experience preferred

COMPLETE JOB DESCRIPTION

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