Supervision Analyst

Wealth Enhancement Group

1d•$80,000 - $90,000•Remote

About The Position

About Wealth Enhancement Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide. Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com. We have an exciting opportunity for a Supervision Analyst! The Supervision Analyst will have primary responsibility to lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. This is a fully remote position. In the spirit of pay transparency, we are excited to share the base salary range for this position is $80,000.00 to $90,000.00, exclusive of bonuses and benefits. This role is also eligible for an annual corporate bonus. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Requirements

Bachelor's degree (or equivalent experience) in business; finance, economics or related field
Minimum of 4 years in Financial Services
FINRA Series 7, 66 (or 63 & 65), 24 required.
Insurance license (life, health/accident, variable lines of authority) required or ability to obtain within first year of hire.
Superior verbal and written communication skills.
Proficient with Microsoft Office Suite or related software.

Nice To Haves

FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire.

Responsibilities

Have thorough understanding of firm’s policies and procedures and be able to communicate them to others.
Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes.
Monitor, report, and enforce internal controls to ensure compliance.
Participate in training and presentations to new acquisition teams related to the Supervision team and Compliance policies.
Contribute topics and assist in the development of Best Practices communications for Connections.
Review new business and trade alerts on a daily basis to ensure completeness and compliance with firm’s policies and provide principal approval (or resolve deficiencies) where appropriate.
Conduct thorough, timely, and effective reviews of transactional business and activities.
Build and maintain positive working relationships with advisors, grounded in trust and respect.
Monitor and follow up on outstanding tasks on a timely basis.
Escalate issues to Supervision Manager as necessary.
Have thorough understanding of workflows and queues related to Supervision team.
Ensure Salesforce business review queue and trade alert queues are current.
Monitor and follow up on Salesforce QC reports to identify business that was not submitted properly.
Collaborate with other members of the Supervision team regarding trends, case studies, regulatory/product changes, or escalations.
Attend weekly team meetings
Attend monthly Compliance department meetings
Other projects and/or delegation of OSJ duties as required.
Review advisor email and client correspondence.
Review client refund and trade error cases.
Review ! Help-General support cases.

Benefits

Medical, dental and vision coverage (Available to full-time employees and their families)
Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
Life and AD&D insurance – employer paid and voluntary options
Short-term and long-term disability, workers compensation – employer paid
401k with match and profit sharing
Wellness programs and resources
Voluntary benefits, including pet insurance
18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
12 paid holidays each year (10 pre-determined and 2 floating days)
Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)