Supervision Analyst

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 75,000 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’re look for a Supervision Analyst to lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. The Supervision Analyst reports to the Supervision Manager.

This is a fully remote position.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $65,000 - $85,000, exclusive of bonuses and benefits. This role is also eligible for an annual corporate bonus. 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

Have thorough understanding of firm’s policies and procedures and be able to communicate them to others.

• Wealth Enhancement Group (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 Principal Review Team and what we do

• Contribute topics and assist in the development of Best Practices communications for Connections

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

• Requires 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 Senior Principal Review Analyst or Director of Supervision as needed

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

• Ensure both principal review queues are current

• Reviewing and approving Review Agenda Checklists

• Monitoring and follow up of Salesforce QC reports to identify business that was not submitted properly

Collaborate with other members of the principal review team regarding trends, case studies, regulatory/product changes, or OSJ escalations.

• Attend weekly team meetings

• Attend bi-weekly Advisor Team Operations (ATO) and Principal Review team 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 (or equivalent experience) in business; finance, economics or related field

• Minimum of 4 years in Financial Services 

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

• 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

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. Thus, the entire salary range for those who are classified as the Associate level is $56,350 to $88,300.

IND123

#LI-REMOTE

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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 participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage (Available to 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.