Securities & Wealth-Management Compliance / Supervisory Analyst
Mercor • Remote, United States
Education
Not stated
Type
Hourly
Pay Rate
$100–$130/hr
Listed
66d ago
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- Weekly hours
- 15 hrs/week
About this role
From the Mercor listing
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.
Requirements
- Must be eligible to work in one of: Remote, United States
- Fluent proficiency in English (Written & Verbal)
- Reliable high-speed internet connection
- Bachelor's degree or equivalent professional experience
- Demonstrated expertise in Legal
How long hiring takes
Across the AI training platforms we refer candidates to, the median gap between referral and hire is about 30 days. It varies by platform and role, so treat it as a rough guide for this one.
Talent Pool members
Apply through this link and we can put you forward to Mercor when your profile is a strong match. Not every applicant is submitted. If you're not in the pool yet, set up your profile first.
Set up your profile →Why this role
This Securities & Wealth-Management Compliance / Supervisory Analyst role pays $100–$130/hr like specialized consulting, minus the client overhead. You set the hours, and the assignments draw directly on your Legal background.
Talent pool
We're light on Legal candidates
We've matched 7 people with a Legal background against 209 Legal listings we've tracked, so most go out without one. Set up a profile and we'll consider you for a role like this one.
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Common questions
Does Mercor's application require an on-camera interview?
Yes, every applicant records a video interview with an AI interviewer that asks questions about your resume. Clients review that recording to judge communication skills before matching, so there's no way to apply without going on camera.
Does it cost money to apply to Mercor?
No, applying and joining Mercor is free. Mercor's revenue comes from a fee it charges the client on top of your hourly rate, not from applicants. Treat any request for payment to join as a red flag.
What does the day-to-day workload look like for elite-expert AI training roles?
Slow and deep, not fast and repetitive. A single task can take 45-60 minutes of researching citations or verifying complex calculations. Quality is what's being measured here, not throughput.
Is AI training work the same as traditional consulting?
No. Instead of client deliverables, you're given complex scenarios to evaluate: grading the AI's logic, correcting its hallucinations, and supplying expert-level reasoning it doesn't have on its own. The job is closer to teaching than consulting.
What does Legal work look like for a Securities & Wealth-Management Compliance / Supervisory Analyst?
Tasks here are scoped to Legal, not generic labeling. As a Securities & Wealth-Management Compliance / Supervisory Analyst, expect to draw on real domain judgment (evaluating outputs, correcting errors, or providing expert reasoning specific to Legal) rather than following a one-size-fits-all rubric. If you don't have hands-on Legal background, this is likely not the right listing to start with.
What specific skills does this listing call for?
AI Training is named directly in the listing. If you don't have hands-on experience with this, expect the screening process to test for it directly rather than accepting adjacent experience as a substitute.
How many hours per week does this role require?
Based on the listing, this role is scoped at about 15 hours per week. Treat this as a real commitment expectation, not a loose estimate.
How much does this specific role pay?
This listing is posted at $100–$130/hr, an hourly rate. The range reflects experience level and negotiated terms, not a placeholder, so where you land in it depends on your background and the assessment. Pay can change between when we last checked the listing and when you apply, so confirm the current number on the platform's own application page before committing time.
What happens when I click Apply on this listing?
You'll be taken to Mercor's external site to complete your application there. This listing links through a referral, but the process is identical to applying directly; the link just routes you correctly. Create an account on their site and follow their onboarding steps.
Can I apply from outside the United States?
This specific role is open only to people based in the United States. If you are somewhere else, applying is unlikely to lead to an offer even if you pass the assessment, because the restriction is usually about where the work can legally be contracted rather than your skills. Read the full description for any tax-residency or right-to-work caveats before you apply.
How soon will I start working after applying to Mercor?
Not immediately. Mercor is a talent marketplace, not a task queue, so applying puts you in a pool of candidates. You start working only once a specific client, like a major AI lab, selects your profile, and that matching process can take weeks.