Wealth Enhancement Group

Analyst

• 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.

Supervision Analyst

Inside Sales

• Schedule introductory and follow‑up meetings with prospects interested in Strategy solutions
• Serve as a primary point of contact for prospects during the pre‑engagement phase
• Complete and/or coordinate required KYC, intake, and suitability documentation
• Collect, organize, and maintain prospect data, notes, and documentation for each case
• Manage onboarding from start to finish, including submitting onboarding tasks, tracking documentation and required signatures, and communicating timelines and next steps to clients and advisors
• Schedule post‑onboarding meetings with clients and advisors
• Maintain accurate and complete records in Salesforce and other internal systems
• Complete additional tasks or projects assigned by Strategy‑Only Advisors or Program Leadership

Supervision Analyst

Internal Sales Specialist – Investment Strategy