Compliance Consultant (Remote - CST Hours)
Compliance / Regulatory
United States
Posted on Jul 26, 2026
Our Customer is an American financial services mutual organization based in Milwaukee. The financial security company provides consultation on wealth and asset income protection, education planning, retirement planning, investment advisory services, financial planning trust and private client services, estate planning and business planning. Its products include life insurance, permanent life insurance, disability income, and long-term care insurance; annuities; investments; and investment advisory products and services.
Our customer is looking for a Compliance Consultant on a contract basis to help support their ongoing business needs. This role is 100% remote.
Responsibilities
Contractor benefits are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements). Benefits include: Medical, Dental, Vision, 401k.
An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.
Our customer is looking for a Compliance Consultant on a contract basis to help support their ongoing business needs. This role is 100% remote.
Responsibilities
- Review investment transactions, including new accounts, subsequent transactions, and trade activity, to ensure compliance with regulatory requirements and company policies
- Support financial advisors and clients through inbound phone support
- Evaluate transactions for compliance with internal policies and industry regulations
- Monitor trading activity and identify potential compliance concerns
- Provide guidance to advisors regarding compliance requirements and transaction processing
- Research and resolve compliance-related inquiries in a timely manner
- Maintain accurate documentation and records of compliance reviews
- Collaborate with internal teams to ensure consistent application of compliance standards
- Utilize internal systems and documentation to support transaction reviews and regulatory compliance
- Participate in ongoing training to maintain knowledge of industry regulations, products, and company policies
- Contribute to continuous process improvements that enhance compliance operations and customer experience
- Bachelor's degree
- 2-3 years of experience in the financial services industry
- Active FINRA Series 7 and Series 24 registrations, or Series 9 and Series 10 registrations
- Experience reviewing investment transactions or financial account activity
- Strong customer service and client support skills
- Strong analytical and critical thinking abilities
- Excellent attention to detail and accuracy
- Strong verbal and written communication skills
- Ability to learn complex regulatory requirements and apply them effectively
- Ability to work independently with a strong sense of ownership and accountability
- Proficiency with Microsoft Word, Excel, Adobe Acrobat, and SharePoint
- Experience with advertising compliance
Contractor benefits are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements). Benefits include: Medical, Dental, Vision, 401k.
An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.