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We are seeking a detail-oriented Compliance Consultant to support the review and approval of Outside Business Activities (OBAs) and Passive Investments for financial professionals. This is a fully remote, contract opportunity with potential for extension or long-term placement. This role is ideal for someone with a compliance or financial services background who enjoys working independently, making risk-based decisions, and partnering with stakeholders to ensure regulatory alignment.
Job Responsibility
Review and approve Outside Business Activities (OBAs) and Passive Investments in accordance with FINRA regulations and company policies
Identify and assess potential compliance risks, conflicts of interest, and regulatory concerns
Partner with internal stakeholders and advisors to gather information and ensure accurate approvals
Communicate effectively via email, phone, and Zoom to coordinate decisions and provide guidance
Manage a high-volume workload while adhering to service-level expectations
Leverage internal systems and tools to document and process approvals
Requirements
FINRA Series 7 and Series 24 licenses (required)
2–3+ years of experience in financial services or a compliance-related role
Strong ability to work independently and make sound, risk-based decisions
Excellent communication skills (written and verbal)
High attention to detail and strong organizational skills
Ability to manage multiple priorities and pivot as business needs evolve
Nice to have
Experience reviewing or approving OBAs and/or Passive Investments
Familiarity with compliance regulations and advisory environments
Comfort working in a fast-paced, highly regulated environment
What we offer
Competitive Rates
Benefits
Strong potential for long-term engagement or full-time conversion
Opportunity to deepen compliance expertise in a highly regulated financial environment
Exposure to advisory and enterprise-level compliance processes