Supervision Analyst

Wealth Enhancement Group

Supervision Analyst leading the daily review process ensuring compliance with firm and regulatory guidelines. Requires Bachelor's degree and 4 years of Financial Services experience.

Posted 6/10/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $80,000 - $90,000 per yearWebsite

About the role

Key responsibilities & impact

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
Participate in training and presentations to new acquisition teams related to the Supervision team and Compliance policies
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
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

Requirements

What you’ll need

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

Comp & perks

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)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance reviewtransactional business reviewinternal controlsSalesforcequality control reportingregulatory guidelinestrade alertsbusiness analysisfinancial services experiencetraining and presentations

Soft Skills

communication skillsrelationship buildingorganizational skillsproblem-solvingteam collaborationtrust and respecttimelinessescalation managementattention to detailadaptability

Certifications

FINRA Series 7FINRA Series 66FINRA Series 24FINRA Series 53 (preferred)FINRA Series 4 (preferred)Insurance license (life, health/accident, variable lines)