Wealth Enhancement · 1 day ago
Supervision Analyst
United States
Full-time
Remote
Mid Level
$80K/yr - $90K/yr
4+ years expWealth Enhancement is an independent wealth management firm focused on enriching clients' lives through personalized financial planning. The Supervision Analyst will lead the daily review process for new business, ensuring compliance with firm and regulatory guidelines while building relationships with advisors.
Financial ServicesRisk ManagementWealth Management
Responsibilities
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
Qualification
Required
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
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
Preferred
FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire
Benefits
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)
Company
Wealth Enhancement
In 1997, four advisors sharing an office space discovered they also shared an essential belief: The financial services industry needed a new and better way to provide advice to clients—one that would help relieve stress from their clients’ financial lives.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$2.51MKey Investors
Onex
2022-02-24Undisclosed· $0.74M
2022-01-12Undisclosed· $0.2M
2021-08-24Private Equity
Leadership Team
Kelly Windorski
Chief Financial Officer
Brett Fingerhut
Sr. Vice President / Financial Advisor
Recent News
2026-01-18
2026-01-06
Company data provided by crunchbase