Supervision Analyst

4 days ago

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Wealth Enhancement Group

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Financial Planning • Investment Management • Tax Strategies • Risk Management • Insurance

501 - 1000

💰 $736.3k Funding Round on 2022-02

Description

• Lead the daily review process for all lines of new business to ensure compliance • Maintain a strong understanding of firm’s policies and procedures • Participate in presentations to new acquisition teams • Review Financial Plans and Non-Cash compensation log • Provide education and/or consequence management as needed • Build good rapport with the advisors and teams • Monitor and follow up on outstanding tasks • Attend weekly team and compliance department meetings

Requirements

• 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.

Benefits

• Training and professional development • Medical and dental coverage • 401k – with match and profit sharing • Health care spending and savings accounts • Dependent care spending account • Vision coverage • Wellness programs and resources • Life insurance – employer paid • Short-term and long-term disability – employer paid • Paid Time Off • 10 paid holidays each year • Paid parental leave • Tuition reimbursement