Office Inspection Analyst

Wealth Enhancement; United States; Remote; USD 85,000 - 95,000; Full time

Benefits offered by this job

Healthcare coverage

HSA with employer contribution

401k with match

Job summary

Wealth Enhancement is seeking an Office Inspection Analyst to conduct risk-based inspections of RIA and BD branches, evaluating compliance with SEC, FINRA, and firm policies. The role blends onsite and virtual work with up to 50% travel.

The position offers a base salary range of $85,000 to $95,000, with eligibility for an annual bonus and a comprehensive benefits package. Strong regulatory knowledge and reporting skills are essential.

Qualifications

• Active Series 7, 66, and 24 licenses.
• Bachelor's degree or equivalent industry experience.
• 3+ years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations.
• Strong knowledge of SEC, FINRA, and state regulatory requirements.
• Experience conducting reviews, audits, inspections, or testing activities.
• Excellent written and verbal communication skills.

Responsibilities

• Office Inspections: conduct onsite and virtual inspections of RIA/BD branches and review operations for regulatory compliance.
• Risk Identification & Remediation: identify risks, document findings, and coordinate corrective actions.
• Reporting & Analytics: prepare inspection reports, track metrics, and support risk assessments.

Skills

Written communication

Verbal communication

Analytical skills

Investigative skills

Organizational skills

Project management

Travel willingness

Education

Bachelor's degree or equivalent

Series 7, 66, and 24 licenses

Job description

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 90,000 households from our over 175 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.

The Office Inspection Analyst is responsible for conducting risk-based office inspections of Registered Investment Advisor (RIA) and Broker-Dealer (BD) branch locations to evaluate compliance with regulatory requirements, firm policies, supervisory procedures, and operational controls. The role performs both onsite and virtual inspections, identifies compliance risks and control deficiencies, documents findings, and partners with advisors and business stakeholders to ensure timely remediation. This position serves as a key component of the firm's supervisory and compliance framework by helping assess branch-level risks, strengthen internal controls, and support compliance with SEC, FINRA, and state regulatory requirements.

This is a fully remote position with up to 50% travel.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $85,000.00 to $95,000.00, exclusive of bonuses and benefits. This role is eligible for an annual bonus.

Primary Job Functions

• Office Inspections Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices. Review branch operations, books and records, supervision practices, marketing activities, client communications, and physical office controls. Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs). Review branch personnel activities for adherence to applicable regulatory and firm requirements. Assess office procedures relating to advertising, correspondence, social media, books & records, OBA, PST, gifts & entertainment, and client documentation requirements. Verify required regulatory disclosures, registrations, and licensing requirements are properly maintained. Complete inspection workpapers and supporting documentation in accordance with departmental standards.


• Risk Identification & Remediation Identify compliance, supervisory, operational, and reputational risks during inspections. Document inspection findings, observations, and recommendations in a clear and defensible manner. Classify deficiencies according to firm-established risk ratings and escalation requirements. Coordinate with branch management and advisors to develop corrective action plans. Monitor remediation efforts and validate completion of corrective actions. Escalate significant findings, repeat deficiencies, and high-risk concerns to management.


• Reporting & Analytics Prepare detailed inspection reports summarizing scope, findings, recommendations, and corrective actions. Track branch inspection metrics, recurring deficiencies, and emerging risk trends. Assist with risk assessments used to determine inspection frequency and scope. Gather and analyze relevant documentation, communications, and transaction history to support findings. Partner with Supervision, Legal, and leadership to assess risk and determine appropriate outcomes.

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.

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.

Education/Qualifications

• Active series 7, 66, and 24


• Bachelor's degree or equivalent industry experience.


• 3+ years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations.


• Strong knowledge of SEC, FINRA, and state regulatory requirements.


• Experience conducting reviews, audits, inspections, or testing activities.


• Excellent written and verbal communication skills.


• Strong organizational, analytical, and investigative skills.


• Ability to manage multiple projects and deadlines independently.


• Willingness to travel for onsite branch inspections.

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 this level is $79,200.00 to $110,900.00. However, the base salary range bolded above ($85,000.00 to $95,000.00) is what we expect to pay as a starting range for this position.

Comprehensive Benefits Offerings

• 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.

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.

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 90,000 households from our over 175 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.

Wealth Enhancement Careers