Mercor connects elite creative and technical talent with leading AI research labs. Headquartered in San Francisco, our investors include Benchmark, General Catalyst, Peter Thiel, Adam D'Angelo, Larry Summers, and Jack Dorsey.
Evaluate 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.
Qualifications
Must-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.
Preferred
FINRA Series 7 + 24 (or 9/10); IACCP or comparable compliance designation; structured-products / alternatives supervision experience.
Application Process (Takes 20–30 mins to complete)
Upload resume
AI interview based on your resume
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Resources & Support
For details about the interview process and platform information, please check: https://talent.docs.mercor.com/welcome
For any help or support, reach out to: support@mercor.com
PS: Our team reviews applications daily. Please complete your AI interview and application steps to be considered for this opportunity.
#hiringmercor
Numbers & Facts
Location
Chicago, Illinois (Remote)
Salary
$100–$130 Per Hour
Skills
Analysis Skillsunmatched
Artificial Intelligence (AI)unmatched
Benchmarkingunmatched
Brokerageunmatched
Business Intelligenceunmatched
Maintain Complianceunmatched
Marketingunmatched
Product Managementunmatched
Registered Investment Advisor (RIA)unmatched
Research Laboratoryunmatched
Securitiesunmatched
Securities and Exchange Commission (SEC)unmatched
Series 7unmatched
Training/Teachingunmatched
Wealth Managementunmatched
Writing Skillsunmatched
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