Wealth Enhancement Group

Supervision Analyst

Wealth Enhancement Group

full-time

Posted on:

Location Type: Remote

Location: United States

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Salary

💰 $80,000 - $90,000 per year

About the role

  • Lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines.
  • 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.
  • 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.

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. FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire.
  • 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.
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)
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
financial servicescomplianceinternal controlsreporting
Soft Skills
communicationrelationship buildingtrustrespecttimeliness
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 66FINRA Series 24FINRA Series 53FINRA Series 4Insurance license