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Legal mercor

Securities & Wealth-Management Compliance / Supervisory Analyst

Mercor Remote, USA

Education

Any

Type

hourly

Pay Rate (by country)

$100–$130/hr

Listed

Today

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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, USA
  • Fluent proficiency in English (Written & Verbal)
  • Reliable high-speed internet connection
  • Bachelor's degree or equivalent professional experience
  • Demonstrated expertise in Legal

Why This Role

This Securities & Wealth-Management Compliance / Supervisory Analyst role offers a powerful combination of high income ($115/hr) and total flexibility. Unlike traditional contracting, you generally set your own hours. It is an ideal "second stream" of income for Legal professionals who want to stay sharp in their field while gaining exposure to the booming AI industry.

Skills & Categories

Explore other opportunities in related specializations:

Legal AI Training

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Frequently Asked Questions

Is Mercor for freelancers or full-time contractors?

Mercor places you with one client for a defined engagement, like 'Python Tutor for 3 months', rather than having you grab small tasks from a shared queue. Most roles function as steady contract work, not one-off gigs.

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.

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.

Why do these AI training roles pay so much?

Because general knowledge isn't what's being tested. The model already knows the basics; what it needs is expertise on edge cases, the rare, difficult, highly technical judgment calls only a senior professional in the field would make correctly.

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.

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 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 USA?

This specific role is restricted to USA. If you are outside these locations, applying is unlikely to result in an offer even if you pass the assessment. Check the full job description for any VPN or tax-residency caveats.

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.