Securities Compliance Review Analyst

About OpenTrain

OpenTrain AI is hiring a Securities Compliance Review Analyst for specialized AI training work. OpenTrain is the #1 platform for finding and building careers in AI training and data labeling, helping contributors discover projects, build a professional profile, and apply in minutes.

• Remote contract opportunity for candidates in the United States
• Flexible part-time schedule of approximately 15 hours per week
• Hourly pay listed at $100-$130

About AI Training Work

AI systems learn from carefully prepared examples and expert evaluations. In this project, your securities compliance judgment will help create high-quality training data from mock files, regulatory reviews, and draft compliance deliverables.

• Apply professional expertise to evaluate AI training examples
• Produce clear, consistent work assessed against a defined rubric
• Contribute to the human review process behind modern AI systems

The Role

As a Securities Compliance Review Analyst, you will complete self-contained review and supervision exercises using mock files. You will evaluate compliance activity, identify deficiencies and non-compliant recommendations, prepare draft deliverables, and support findings with precise regulatory citations.

• Focus area: US securities and wealth-compliance work products
• Data type: document review and evaluation
• Core work: regulatory analysis, supervisory judgment, and written citations

What You'll Do

You will review completed periodic client reviews against a supervision control checklist, flag deficiencies with specific control citations, and prepare audit-trail entries. You will also assess attestations, communications, marketing materials, and investment activity against applicable procedures and guidelines.

• Review Reg BI, DOL rollover, trade, and new-account attestations against reference procedures
• Identify non-compliant recommendations and explain the supporting regulatory basis
• Review outgoing client communications and marketing materials under the SEC Marketing Rule and suitability guidelines
• Draft reviewer dispositions for communications and marketing reviews
• Supervise structured-product and alternative-investment books
• Identify restriction-code hits, recent-purchase patterns, and concentration thresholds

Requirements

This role requires at least three years of experience in US securities, broker-dealer, RIA compliance, or supervision. You should be able to assess mock compliance files independently and produce clear, rubric-aligned draft deliverables.

• At least three years of relevant US securities, broker-dealer, RIA compliance, or supervision experience
• Working knowledge of Reg BI and DOL rollover rules
• Working knowledge of FINRA supervisory requirements and suitability
• Working knowledge of the SEC Marketing Rule
• Ability to identify non-compliant recommendations and support findings with precise regulatory citations
• Strong written judgment and close attention to detail
• Ability to review client communications, marketing materials, structured products, and alternative-investment activity

Helpful Background

The following credentials or experience are helpful but are not stated as required. They may support your ability to evaluate specialized compliance scenarios and investment activity.

• FINRA Series 7 and 24
• FINRA Series 9 and 10
• IACCP or a comparable compliance designation
• Experience supervising structured products or alternative investments

Schedule, Location, and Pay

This is a remote US contractor role with an expected commitment of approximately 15 hours per week. The listed hourly rate is $100-$130.

• Location: United States
• Work arrangement: Remote
• Employment type: Contract, part time
• Expected time: Less than 20 hours per week
• Pay: $100-$130 per hour

How to Apply Through OpenTrain

Create a free OpenTrain account to build your profile and apply in minutes. Your profile can help showcase relevant compliance experience and support a longer-term path in AI training and data-labeling work.

• Highlight your securities compliance and supervision experience
• Include relevant regulatory knowledge and credentials
• Show your ability to write precise, well-supported review findings