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 80,000 households from our over 140 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! The Supervision Analyst 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.  

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 $80,000.00 to $90,000.00, 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.

• Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes.

• Monitor, report, and enforce internal controls to ensure compliance.

• Participate in training and presentations to new acquisition teams related to the Supervision team and Compliance policies.

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

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

• Conduct thorough, timely, and effective reviews of transactional business and activities.

• Build and maintain positive working relationships with advisors, grounded in trust and respect.

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

• Escalate issues to Supervision Manager as necessary.

Have thorough understanding of workflows and queues related to Supervision team.

• Ensure Salesforce business review queue and trade alert queues are current.

• Monitor and follow up on 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 escalations.

• Attend weekly team meetings

• Attend monthly Compliance department meetings

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

• Review advisor email and client correspondence.

• Review client refund and trade error cases.

• Review ! Help-General support cases.

Education/Skill Requirements

• 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), 24 required.

• FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire.

• 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. To comply with state, pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as the Career level is $67,300.00 to $97,600.00. However, the base salary range bolded above is what we expect to pay as a starting range for this position.

#LI – MR1

#LI – Remote

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.