Office Inspection Analyst

🔥 13 hours ago

🇺🇸 United States – Remote

💵 $85k - $95k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🧐 Analyst

👻 Ghost score 0%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices • Review branch operations, books and records, supervision practices, marketing activities, client communications, and physical office controls • Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs) • Review branch personnel activities for adherence to regulatory and firm requirements • Assess procedures relating to advertising, correspondence, social media, books & records, OBA, PST, gifts & entertainment, and client documentation • Verify regulatory disclosures, registrations, and licensing requirements • Complete inspection workpapers and supporting documentation • Identify compliance, supervisory, operational, and reputational risks • Document findings, observations, and recommendations • Classify deficiencies according to risk ratings and escalation requirements • Coordinate corrective action plans with branch management and advisors • Monitor remediation and validate corrective action completion • Escalate significant findings, repeat deficiencies, and high-risk concerns • Prepare detailed inspection reports • Track inspection metrics, recurring deficiencies, and emerging risk trends • Assist with risk assessments determining inspection frequency and scope • Gather and analyze documentation, communications, and transaction history • Partner with Supervision, Legal, and leadership to assess risk and determine outcomes

🎯 Requirements

• Active series 7, 66, and 24 • Bachelor's degree or equivalent industry experience • 3+ years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations • Strong knowledge of SEC, FINRA, and state regulatory requirements • Experience conducting reviews, audits, inspections, or testing activities • Excellent written and verbal communication skills • Strong organizational, analytical, and investigative skills • Ability to manage multiple projects and deadlines independently • Willingness to travel for onsite branch inspections • Ability to stand or sit for long periods of time, file documents in high or low cabinets, use the telephone, and use computer systems

🏖️ Benefits

• Annual bonus eligibility • Training and professional development • 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) • Fully remote position • Up to 50% travel