Sr Compliance Operations Manager

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 90,000 households from our over 175 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

We have an exciting opportunity for a Compliance Operations Sr. Manager! The Compliance Operations Sr. Manager is responsible for supporting the effective execution and continuous improvement of the firm’s Compliance program. The role helps establish the structure, ownership, processes, and reporting necessary to manage compliance projects and recurring obligations effectively. A key focus of the position is strengthening Compliance through effective project management and the use of governance, risk, and compliance (GRC) technology to improve workflow, accountability, documentation, and visibility. The role also supports the firm’s policy and procedure governance process and helps translate compliance requirements into practical, sustainable operating processes. The Compliance Operations Sr. Manager supervises assigned personnel and coordinates work across Compliance and other business functions. Success requires exceptional organization and follow-through, strong project-management skills, sound judgment, and the ability to manage competing priorities in a fast-paced and evolving environment.

This is a Remote position.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $130,000.00 to $150,000.00, exclusive of bonuses and benefits. We encourage you to apply and provide us with your compensation expectations when you do. We're big on open conversations, so, let's have one.

Primary Job Functions

Compliance Operations & Execution

• Lead and coordinate Compliance Operations programs, projects, and recurring obligations, establishing clear ownership, deliverables, deadlines, and escalation points.
• Manage assigned personnel, including establishing priorities and expectations, allocating work, providing coaching and feedback, and supporting employee development.
• Develop and maintain project plans and tracking mechanisms for complex compliance initiatives involving multiple stakeholders, dependencies, and deadlines, and drive assigned initiatives through implementation and completion.
• Maintain visibility into active projects, recurring requirements, outstanding commitments, risks, and required follow-up, and provide clear status reporting to management.
• Identify delays, resource constraints, control gaps, and emerging risks and coordinate appropriate follow-up or escalation.
• Develop practical reporting and metrics to support prioritization, capacity management, and oversight of Compliance Operations activities.
  

GRC, Workflow & Process Improvement

• Support the continued development and adoption of the firm's regulatory compliance GRC and workflow capabilities.
• Translate compliance requirements and operational processes into structured workflows with defined ownership, deadlines, approvals, documentation requirements, and escalation paths.
• Leverage GRC and workflow technology to improve management of compliance obligations, projects, issues and remediation, testing, examinations, and other Compliance activities.
• Develop reporting and identify opportunities to improve or automate manual processes, increase visibility, and reduce reliance on spreadsheets, email follow-up, and individual knowledge.
  

Policies, Procedures & Governance

• Support the firm’s compliance policy and procedure governance process, including ownership, review schedules, approvals, publication, version control, and periodic updates.
• Coordinate with Compliance subject-matter experts and business owners to develop and maintain policies, written supervisory procedures, desktop procedures, and related guidance.
• Maintain visibility into required policy and procedure reviews and coordinate updates resulting from regulatory developments, organizational changes, examination or testing findings, and changes in business practices.
• Promote consistent documentation and help identify gaps between documented procedures and actual operating practices.
  

Other Compliance Programs & Support

• Provide operational and project-management support for regulatory examinations, compliance testing, remediation, regulatory change, training, attestations, and other Compliance initiatives.
• Depending on organizational needs and the selected candidate’s experience, manage or support additional Compliance programs or personnel.
• Perform other related duties as assigned.

Drive Service Improvement through Ai and digital tools

• Proficient at using Ai and digital tools, creating and maintaining knowledge content, and driving improvements based on data and feedback.

Education/Qualifications

• Bachelor's degree
• Series 7, 24, and 65, or ability to obtain within 12 months of hire
• Seven or more years of relevant experience in compliance, regulatory operations, or risk management in financial services or related field.
• Demonstrated experience managing complex projects, programs, or operational processes involving multiple stakeholders and competing deadlines.
• Strong project-management, organizational, prioritization, and follow-through skills.
• Experience managing employees or providing significant team or program leadership.
• Experience developing or improving compliance processes, procedures, controls, or workflows.
• Ability to manage numerous concurrent priorities in a fast-paced environment while maintaining visibility into deadlines and commitments.
• Strong written and verbal communication and cross-functional stakeholder-management skills.
• Experience implementing, administering, or materially improving a GRC or compliance workflow platform, such as LogicGate Risk Cloud, MyComplianceOffice, or a comparable platform.
• Experience developing compliance workflows, operational metrics, dashboards, or management reporting.
• Working knowledge of the broker-dealer and/or investment-adviser regulatory environment, particularly licensing and registration requirements and related broker-dealer and investment adviser registration processes.
• Advanced degree or relevant professional certification preferred, such as a J.D., IACCP, PMP, CIPP, CIPM, or comparable compliance, project management, privacy, or legal credential.
• Proficient at using Ai and digital tool, creating and maintaining knowledge content and driving improvements based on data and feedback.

WEG hires employees and makes decisions about their salary qualifications based on factors such as the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. To comply with state, pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as this level is $116,300.00 - $174,500.00. However, the base salary range bolded above ($130,000.00 to $150,000.00) is what we expect to pay as a starting range for this position.
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Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may be eligible to participate in the following benefits & development opportunities:

• 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)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.