Job Details

Compliance/Supervision Consultant

Genesis10 is seeking a Compliance/Supervision Consultant for a 6-month contract position with a financial services firm located in Milwaukee, WI. This role is 100% remote. Pay Rate: $28.00-$30.00/hr. Summary: At the core of this role, you will support advisors and clients by reviewing a variety of investment transactions-including new account openings, subsequent transactions, and trade monitoring-to ensure compliance with regulatory requirements and internal company policies. While training will be provided on specific compliance regulations and policies, we are seeking someone with a strong desire to learn technical concepts and apply them thoughtfully in a fast-paced environment. This role is ideal for a self-directed professional who takes ownership of their work, is comfortable operating with limited information, and values continuous learning and feedback.

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

Qualifications:

• Bachelors 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).

If you have the described qualifications and are interested in this exciting opportunity, apply today! Genesis10 is an Equal Opportunity Employer/Minorities/Female/Disabled/Veteran