Genesis10 · 1 day ago
Compliance Consultant - Series 7/24 - 100% Remote
United States
Contract
Remote
Entry, Mid Level
$28/hr - $30/hr
2+ years expGenesis10 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.
Information ServicesInformation Technology
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
Qualification
Required
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
Genesis10
Information Technology and Services
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Harley Lippman
CEO and Founder
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