Codeworks IT Careers · 2 days ago
Compliance/Supervision Consultant ( 4 Openings)
United States
Contract
Remote
Entry, Mid Level
$18/hr - $33/hr
2+ years expCodeworks is an IT Services firm headquartered in SE Wisconsin, known for their strong commitment to quality and direct client relationships. They are seeking Compliance/Supervision Consultants to support compliance review activities by reviewing investment transactions and ensuring alignment with regulatory requirements and firm policies.
Information Technology
Responsibilities
Review investment transactions for compliance with regulatory and firm policy standards
Evaluate new account documentation, subsequent transactions, and ongoing trading activity
Monitor trades and identify potential compliance, suitability, or policy concerns
Ensure all activity adheres to applicable regulations and internal procedures
Learn and apply compliance regulations and firm policies using provided training and guidance
Combine technical expertise with financial industry experience to support transaction reviews
Operate as a self-directed learner with strong ownership of tasks
Make timely, well‑reasoned compliance decisions with limited information
Demonstrate openness to feedback and continuous development
Qualification
Required
Bachelor's degree
2–3 years of financial industry experience
Active Series 7 and Series 24 registrations
Preferred
Strong analytical skills and attention to detail
Ability to work independently in a remote environment
Experience supporting compliance, audit, or supervision functions
Benefits
Medical, dental, vision, and life insurance plans
Company
Codeworks IT Careers
Since 1995, we have specialized in providing exceptional IT staffing, project delivery, and consulting services.
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
unknown2025-11-18Acquired
Company data provided by crunchbase