Supervision Analyst

About Wealth Enhancement Group

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 61,000 households from our over 100 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 Supervision Analyst! This person will have primary responsibility to lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines.

The initial salary target for this role is $80,000.00 - $90,000.00 it is also eligible for bonus.

We select our initial compensation target using national compensation survey data. When we make an offer, we then factor in things like tenure, performance, and geographic location to come up with the most accurate numbers. 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

Maintain a strong understanding of firm’s policies and procedures and be able to communicate them to others.

• WEG Principal Review Guidelines

• LPL Guidelines – Approved Product List, Annuity Order Entry (AOE) process, Alternative Investments

• Participate in presentations to new acquisition teams related to the Supervision Team and responsibilities

• Contribute topics and assist in the development of Best Practices communications for Connections (WEG Intranet)

• Review Financial Plans

• Personal Trading and Non-Cash compensation log review in MyComplianceOffice (MCO).

• Review post trading alerts in FIS and follow up with advisor teams as needed to provide education and/or consequence management.

Review new business daily to ensure completeness and compliance with firm’s policies and provide principal approval (or resolve deficiencies) where appropriate.

• Build good rapport with the advisors and teams to clearly communicate requirements and how to resolve and communicate accommodations as appropriate.

• Monitor and follow up on outstanding tasks on a timely basis.

• Escalate issues to Supervision Manager as needed.

Have thorough understanding of Salesforce workflow and queues related to supervision team.

• Ensure both Supervision queues are current.

• Monitoring and follow up of 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 OSJ escalations.

• Attend weekly team meetings

• Attend Compliance department meetings

Other projects and/or delegation of OSJ duties as required.

• OSJ Review Tool (ORT) tasks

• Email Review

• Non-Electronic Correspondence Review

Education/Qualifications

• Bachelor’s degree in business; finance, economics or related 5 years in Financial Services

• FINRA Series 7, 66 (or 63 & 65), and 24 required.

• Insurance (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.

#LI-REMOTE

#LI-MR1

IND123

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 participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage

• 401k – with match and profit sharing

• Health care spending and savings accounts

• Dependent care and transit spending accounts

• Wellness programs and resources

• Life and AD&D insurance – employer paid and voluntary options

• Short-term and long-term disability – employer paid

• Employee assistance plan

• Accident and critical illness

• Pet insurance

• Identity theft

• Paid Time Off

• 12 paid holidays each year

• Paid parental leave and paid caregiver leave

• Tuition reimbursement

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.