Compliance Officer – Securities Supervision 

Join a national compliance team where your decisions help protect investors and maintain the integrity of financial markets. As a key supervisory voice, you’ll lead critical reviews of trades, documents, and alerts ensuring they meet both regulatory standards and firm policies. Your insights will directly support decentralized advisor models, giving you broad influence and visibility across the business.

Key Responsibilities
• Review securities transactions for suitability using electronic trade blotters
• Investigate alerts in brokerage and advisory accounts through supervision systems
• Approve account documents and outgoing correspondence per FINRA/SEC rules
• Analyze trade patterns to identify potential sales practice violations
• Collaborate with senior supervisory staff on escalations and resolutions

Minimum Qualifications
• Active FINRA Series 24 license required
• Active FINRA Series 63 license required
• 5+ years in compliance, supervision, or broker-dealer operations
• Strong understanding of mutual funds, annuities, MSRB, and general securities
• Working knowledge of SEC, FINRA, MSRB, and state regulatory frameworks

Core Tech Environment
• Electronic blotters (e.g., Actimize, SmartStation)
• Supervision platforms (e.g., Firm Element, CRD tools)
• Documentation workflows (e.g., DocuSign, Salesforce)
• Compliance alerts (e.g., automated alerting tools)
• Office suite (Excel, Outlook, Teams, SharePoint)

Preferred Skills
• Experience supervising municipal bonds and 529 Plans
• Confident regulatory decision-maker under pressure
• Familiarity with OSJ/HOS supervision and multi-tiered compliance

Additional Details 
This role is fully remote but candidates are preferred to sit in North Carolina or South Carolina 
$40–$45/hour 
Full-time hours 
Long-term contract (W2) 

Benefits
• 100% remote • Long-term contract stability
• Exposure to diverse investment products
• Collaborative national compliance team
• Access to cutting-edge supervision platforms

We are an equal opportunity employer and provide reasonable accommodations upon request.