Compliance Supervision Consultant

Job Description

Codeworks, an LRS company, is seeking a Compliance Supervision Consultant for a contract position. In this role, you will support team members and advisors by reviewing and approving OBAs and Passive Investments in accordance with FINRA regulations and company policies. Training will be provided to help you build knowledge of compliance regulations and internal policies.

• Review and assess Outside Business Activities (OBAs) and Passive Investments for compliance with regulatory and company standards
• Identify and evaluate potential risks or conflicts, and support informed decision-making
• Communicate with stakeholders regarding regulatory requirements and policy considerations
• Analyze submissions and documentation to ensure accuracy and completeness
• Contribute to maintaining consistent processes and documentation standards
• Support team priorities and collaborate with colleagues to meet shared goals

• Series 7 and Series 24 licenses required
• 2-3+ years of experience in the financial services industry
• Familiarity with regulatory compliance concepts and risk assessment
• Ability to communicate effectively through phone, virtual meetings, and written correspondence
• Experience with Microsoft Word, Excel, Adobe, and Share Point

The base range for this contract position is $30.00 - $36.00 Per hour per hour, depending on experience. The range displayed reflects the minimum and maximum target for new hires of this position across all U.S. locations. Individual pay is determined by work location and additional job-related factors.

Codeworks, an LRS company, is an equal opportunity employer. Applicants for employment will receive consideration without unlawful discrimination based on race, color, religion, creed, national origin, sex, age, disability, marital status, gender identity, domestic partner status, sexual orientation, genetic information, citizenship, status or protected veteran status.

In some cases, Codeworks, an LRS company, uses generative artificial intelligence ("AI") in support of our hiring processes. Codeworks takes steps to ensure the use of AI does not result in discrimination based on protected class(es). AI may be used in the hiring process solely in support of the assessment of candidate qualifications. All decisions in the hiring process are made by LRS employees.

If AI will be used in the hiring process for the position for which you are applying, you will be notified and will have the opportunity to opt out. Please contact  with any questions.