Compliance Associate

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Wealth Enhancement Group

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 1997

💸 Finance

🛡️ Insurance

💰 $736.3k Funding Round on 2022-02

Finance • Insurance

Wealth Enhancement Group is a financial services firm founded in 1997, dedicated to providing clients with comprehensive financial guidance. The firm focuses on reducing the stress of managing various aspects of clients’ financial lives by integrating services such as financial planning, investment management, tax strategies, risk management, insurance, estate planning, and retirement income planning. Utilizing a team approach, known as the Roundtable™, and a structured process called UniFi™, Wealth Enhancement Group aims to empower clients in making confident and informed financial decisions.

📋 Description

• Coordinate RIA compliance requirements • Assist with development, testing, and oversight of investment advisory platform controls • Collaborate with business partners on compliance processes, policies, and regulatory requirements • Contribute to compliance risk assessments and conflict identification • Develop, analyze, and recommend policy and procedure changes • Facilitate periodic process reviews with content owners • Complete monthly 13H and quarterly 13F filings • Review GIPS reporting as performance numbers are rolled out • Review and update website sales literature • Provide strategic direction for ERISA and retirement products and services compliance programs • Coordinate retirement services compliance activities, issue resolution, and policy implementation • Research evolving regulatory rules and assess impacts on the firm and ERISA and retirement platforms • Leverage and identify technology solutions for compliance responsibilities • Coordinate ERISA regulatory training • Maintain current knowledge of business regulations through education and industry involvement • Consult stakeholders on documents and information needed to achieve compliance goals • Provide compliance support for Advisory Solutions Group trading operations, proxy voting, fee billing, and advisory platform • Identify process-efficiency opportunities and maintain standard operating procedures • Generate reports on status and timelines • Use data analytics and AI tools to identify trends, anomalies, and potential compliance risks • Support compliance data governance and regulatory reporting, testing, and examinations • Evaluate and implement AI and automation solutions for surveillance, testing, and documentation

🎯 Requirements

• 2+ years’ experience in financial services compliance or related experience • Experience with ERISA compliance programs • Experience and understanding of ERISA 3(21) and 3(38) fiduciary duties • Understanding of ERISA 408(b)(2) requirements • Superior verbal and written communication skills • Proficient with Microsoft Office Suite or related software • FINRA Series 7 & 66 • Ability to work independently and prioritize competing projects and deadlines • Self-starting, proactive approach demonstrating initiative, ownership, and leadership • Ability to influence and interface with all levels of employees and leaders at WEG • Demonstrated ability to use AI tools and technologies in daily work tasks • Understanding of effective prompt crafting and evaluation of AI-generated content for accuracy and appropriateness • Ability to integrate AI tools while maintaining quality standards • Comfort learning new AI applications and understanding their use cases and limitations • Continued learning and adaptation to evolving AI tools and methodologies expected

🏖️ Benefits

• Training and professional development • Medical, dental and vision coverage (Available to full-time employees and their families) • Health Savings Account (HSA) with employer contribution • 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)