Supervision Analyst

🔥 10 hours ago

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Wealth Enhancement Group

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 1997

💰 $736.3k Funding Round on 2022-02

In 1997, four advisors sharing an office space discovered they also shared an essential belief: The financial services industry needed a new and better way to provide advice to clients—one that would help relieve stress from their clients’ financial lives.

📋 Description

• 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

• 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)