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: - Bachelor's 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 Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.
For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client.
Benefits of Working with Genesis10: - Access to hundreds of clients, many of whom have been working with Genesis10 for 5-20 years
- The opportunity to have a career-home with Genesis10; many of our consultants have been working exclusively with Genesis10 for years
- Access to an experienced, caring recruiting team (with more than 7 years of experience on average)
- Behavioral Health Platform
- Medical, Dental, Vision
- Health Savings Account
- Voluntary Hospital Indemnity (Critical Illness & Accident)
- Voluntary Term Life Insurance
- 401K
- Sick Pay (for applicable states/municipalities)
- Commuter Benefits (Dallas, NYC, SF)
- Remote opportunities available
For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and view all our available career opportunities, please visit us at our website.
Genesis10 is an Equal Opportunity Employer.
Candidates will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
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