Broker-Dealer & Advisory Compliance Evaluator

IXO is seeking U.S. securities-compliance practitioners to produce and evaluate draft supervisory work products for paid remote assignments. You will work through self-contained mock files, apply defined review criteria and make the basis for each finding easy to follow.

Review work

Check completed periodic client reviews against a supervisory control checklist. Identify missing or deficient controls, cite the relevant requirement and prepare the audit-trail entry that explains the result.

Assess rollover recommendations, trade attestations and new-account records against reference procedures, including Regulation Best Interest and applicable Department of Labor rollover rules. Flag recommendations that do not meet the stated standards and support the finding with precise citations.

Review client communications and marketing material for issues under the SEC Marketing Rule and suitability requirements, then prepare a draft reviewer disposition. Other exercises cover structured products and alternative investments, including restriction-code breaches, recent-purchase patterns and concentration limits.

These outputs are draft evaluation materials. They do not authorize live trades, approve marketing for distribution or replace a firm's supervisory decision.

Qualifications

You need at least three years in U.S. broker-dealer, securities or registered-investment-adviser compliance or supervision. Working knowledge of Reg BI, DOL rollover requirements, FINRA supervision, suitability and the SEC Marketing Rule is required. You should write clear findings and use citations with care.

Preferred qualifications include FINRA Series 7 together with Series 24 or Series 9/10, IACCP or a comparable compliance designation, and experience supervising structured products or alternatives. These credentials and specialist experience are advantages rather than mandatory prerequisites.

A practical assessment may ask you to score a periodic review, evaluate a rollover recommendation and identify issues in a marketing item using the relevant criteria.

Engagement

Compensation is $120 $160/hr USD. Around 15 hours per week is an indicative planning figure; IXO will agree availability, scope and timing before work. Applicants must be U.S.-based. Use authorized mock files only and never disclose client identities, employer records, proprietary controls or confidential financial information. Additional work is agreed separately.