[Remote] Compliance Consultant - Series 7/24 - 100% Remote

Note: The job is a remote job and is open to candidates in USA. Genesis10 is seeking a Compliance/Supervision Consultant for a 6-month contract position with a financial services firm. The role involves supporting advisors and clients by reviewing investment transactions to ensure compliance with regulatory requirements and internal policies. Responsibilities • Review and approve investment-related transactions such as new accounts, account updates, and trade activity to ensure regulatory and policy compliance • Support advisors and clients by identifying and resolving potential compliance issues • Monitor transactions and activities to ensure adherence to firm and regulatory standards • Learn and apply financial regulations, internal policies, and compliance procedures • Exercise sound judgment while balancing risk, accuracy, and efficiency • Document findings and escalate issues as appropriate • Collaborate with internal teams while maintaining accountability for individual work Skills • Bachelor's degree required • 2–3 years of experience in the financial services industry • Active Series 7 and Series 24 registrations • Strong attention to detail and analytical skills • Ability to work independently with a strong sense of ownership and accountability • Willingness to learn, adapt, and accept feedback as part of ongoing professional development • Only candidates available and ready to work directly as Genesis10 employees will be considered for this position • Able to work as a W2 employee of Genesis10 (no corp to corp) Benefits • Access to hundreds of clients, many of whom have been working with Genesis10 for 5–20 years • The opportunity to have a career-home with Genesis10; many of our consultants have been working exclusively with Genesis10 for years • Access to an experienced, caring recruiting team (with more than 7 years of experience on average) • Behavioral Health Platform • Medical, Dental, Vision • Health Savings Account • Voluntary Hospital Indemnity (Critical Illness & Accident) • Voluntary Term Life Insurance • 401K • Sick Pay (for applicable states/municipalities) • Commuter Benefits (Dallas, NYC, SF) • Remote opportunities available Company Overview • Information Technology and Services It was founded in 1999, and is headquartered in New York, New York, USA, with a workforce of 1001-5000 employees. Its website is Apply tot his job Apply tot his job Apply tot his job

Apply tot his job

Apply To this Job