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, …