Compliance/Supervision Consultant (100% Remote)
The Mom Project · United States
- Hybrid
- Contract
- $75,000 / year
- United States
Job highlights
- Review annuity applications for compliance.
- Evaluate recommendations for suitability.
- Support field partners with annuity inquiries.
- Maintain compliance documentation and records.
- Collaborate to resolve regulatory issues.
About the role
Compliance Consultant - Remote
The Mom Project is seeking a Compliance/Supervision Consultant for a contract role supporting an American financial services mutual organization based in Milwaukee. This is a 100% remote position.
Responsibilities
- Review new and existing annuity applications for regulatory compliance.
- Evaluate recommendations for suitability and supervision standards.
- Support advisor and client inquiries via the annuity supervision phone queue.
- Provide guidance to field partners on annuity-related questions and processes.
- Maintain accurate documentation and review records for compliance purposes.
- Collaborate with internal teams to resolve application and regulatory issues.
- Apply due diligence when assessing applications and recommendations.
- Support ongoing process improvements and compliance initiatives.
Skills And Qualifications
- Bachelor’s degree.
- 2-3 years of experience in the financial services industry.
- Series 6/26 or Series 7/24 licenses required.
- Strong understanding of annuities and regulatory compliance requirements.
- Strong attention to detail and analytical skills.
- Excellent verbal and written communication skills.
- Ability to work independently with a strong sense of ownership.
- Ability to manage multiple tasks in a fast-paced environment.
- Strong problem-solving and decision-making skills.
- Willingness to learn and adapt to evolving regulations and processes.
Compensation and Benefits
A competitive salary range is offered for this position, with most candidates hired at the median based on experience and qualifications. Contractor benefits are available through a 3rd Party Employer of Record after a waiting period, including Medical, Dental, Vision, and 401k.
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.
Key skills/competency
- Compliance Consultant
- Annuity Applications
- Regulatory Compliance
- Financial Services
- Supervision Standards
- Series 6/26
- Series 7/24
- Due Diligence
- Process Improvement
- Risk Management
Skills & topics
- Compliance Consultant
- Annuity Applications
- Regulatory Compliance
- Financial Services
- Supervision Standards
- Series 6
- Series 26
- Series 7
- Series 24
- Remote Work
How to get hired
- Customize your resume: Highlight your financial services experience, Series 6/26 or 7/24 licenses, and annuity compliance knowledge.
- Tailor your application: Emphasize your attention to detail, analytical skills, and ability to work independently in a remote, fast-paced environment.
- Prepare for interviews: Be ready to discuss your understanding of annuity regulations and how you handle complex compliance scenarios.
- Showcase problem-solving: Provide examples of your strong problem-solving and decision-making skills in past compliance roles.
Technical preparation
Master annuity product features and regulations.,Understand suitability and supervision best practices.,Familiarize yourself with FINRA rules.,Practice documenting compliance reviews accurately.
Behavioral questions
Describe handling a complex compliance issue.,How do you ensure accuracy in your work?,Tell me about managing multiple tasks remotely.,How do you adapt to changing regulations?
Frequently asked questions
- What are the key responsibilities for a Compliance/Supervision Consultant at The Mom Project?
- As a Compliance/Supervision Consultant with The Mom Project, your key responsibilities will include reviewing annuity applications for regulatory compliance, evaluating recommendations for suitability and supervision standards, and providing guidance to field partners on annuity-related matters. You will also maintain accurate documentation and collaborate with internal teams to resolve issues.
- What qualifications are required for the Compliance/Supervision Consultant role?
- To be considered for the Compliance/Supervision Consultant position, you'll need a Bachelor’s degree, 2-3 years of financial services experience, and Series 6/26 or Series 7/24 licenses. A strong understanding of annuities and regulatory compliance is essential, along with excellent analytical and communication skills.
- Is the Compliance/Supervision Consultant position remote?
- Yes, this Compliance/Supervision Consultant position is 100% remote, allowing you to work from any location.
- What kind of benefits can I expect as a contractor for this role?
- Contractors for this role can access benefits through a 3rd Party Employer of Record, including Medical, Dental, Vision, and 401k, available after completing a waiting period for eligible engagements.
- How does The Mom Project ensure fair compensation for the Compliance/Supervision Consultant role?
- The Mom Project offers a competitive salary range for the Compliance/Supervision Consultant position. Most candidates are hired at the median of this range, ensuring compensation is equitable and based on your specific experience and qualifications.
- What licenses are mandatory for the Compliance/Supervision Consultant role?
- The mandatory licenses for the Compliance/Supervision Consultant role are either the Series 6/26 or the Series 7/24.
- Can I apply for the Compliance/Supervision Consultant role if I don't have a Bachelor's degree?
- A Bachelor's degree is listed as a qualification for the Compliance/Supervision Consultant role. While experience is also highly valued, meeting the educational requirement is typically necessary for consideration.