What the work involves

You work from mock client files and self-contained prompts, producing the compliance deliverable a supervisor or reviewer would actually file. A typical block might be: QA a completed periodic client review against a supervision control checklist, flag each deficiency with the specific control citation, and write the audit-trail entry as it would appear in the system of record. Other exercises cover Reg BI and DOL rollover recommendations, trade and new-account attestations checked against reference procedures, outgoing client communications and marketing pieces assessed under the SEC Marketing Rule and suitability guidelines, and supervision of structured-product and alternatives books — restriction-code hits, recent-purchase patterns, concentration thresholds.

The output is judged on citation discipline and reasoning, not volume. A disposition that reaches the right conclusion with a vague or wrong citation scores poorly; so does one that flags everything defensively. Reviewers are looking for the calibration a working principal develops — knowing which findings rise to a deficiency, which are coaching points, and how to write the entry so it holds up on examination.

What the platform screens for

  • Verifiable background. Three-plus years in US broker-dealer, RIA, or wealth-platform compliance or supervision, described concretely — what firm type, what book, what you personally signed off on.
  • Depth under follow-up. Expect the AI screen to push past your first answer on Reg BI care and conflict obligations, DOL rollover documentation, FINRA supervisory-system requirements, and the Marketing Rule's testimonial and performance provisions.
  • Evaluation judgment. Whether you can score someone else's work against a rubric, defend a close call, and separate a genuine finding from noise.
  • Credentials. Series 7 plus 24 (or 9/10) and designations like IACCP are treated as strong signals, not hard gates.

Logistics

Contract, hourly, remote, US-based. Around 15 hours per week, asynchronous — no fixed shift, though rubric-graded batches often carry turnaround windows measured in days. Sidequest observes pay in the $100–130/hr range for this listing; the platform's own posting states $110–150/hr depending on experience and licensing. Neither figure is guaranteed, and rates are typically set after the assessment. Onboarding includes a three-part practical: score a periodic review against a control checklist, review a rollover recommendation under Reg BI, and flag a marketing piece under the Marketing Rule.