Compliance Associate (Remote)

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 a great opportunity for a Compliance Associate who will support the compliance department by assisting the Investigations, Complaints, and Office Inspections (ICI) team with various administrative and support activities. The Compliance Associate reports to the ICI Manager.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $50,000.00 to $60,000.00, exclusive of bonuses and benefits. This role is also eligible for our corporate 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

Prep both onsite and virtual Wealth Enhancement Advisory Services (WEAS) office inspections

• Distribute questionnaires via MyComplianceOffice.

• Coordinate documentation requests from advisor teams.

• Assist with additional audit tasks / reviews as needed.

Provide administrative support of Additional Fiduciary Capacity reviews

• Track and maintain money movement activity in accounts where the advisor is noted as having an additional fiduciary capacity (i.e. trustee, executor).

• Coordinate annual accounting report requests from the advisors per the Annual Audit List.

Provide administrative support of client complaints

• Maintaining log and documentation of the complaint details and resolution.

• Assist with retention of client complaint documentation. 

Provide administrative support of investigations

• Maintain documentation of the investigation and track investigation status.

Education/Qualifications

• 2-3 years of experience in financial services compliance, or related field

• Superior verbal and written communication skills

• Proficient with Microsoft Office Suite or related software

• Effective independent work-skills with ability to prioritize competing projects and deadlines

• Self-starting, proactive person who demonstrates initiative, ownership, and leadership

• Drive, enthusiasm, and solid work ethic

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 at this level is $47,750..00 to $73,775.00. However, the base salary range bolded above is what we expect to pay as a starting range for this position.

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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.