Remote Compliance Inspector: Office & Branch Audits

Wealth Enhancement Group; Plymouth (MN); On-site; USD 85,000 - 95,000; Full time

Benefits offered by this job

Health insurance

Dental and vision coverage

401k with match

Paid time off

Job summary

Wealth Enhancement is seeking an Office Inspection Analyst to perform risk-based inspections of RIA and BD branches, onsite or virtual, to ensure compliance with SEC, FINRA and firm policies. This remote role requires up to 50% travel and collaborates with leadership to remediate findings.

Active Series 7, 66, and 24 licenses are required, along with 3+ years in compliance or audits. The role includes a base salary range of $85,000 to $95,000 with eligible annual bonus and comprehensive benefits.

Qualifications

• Active Series 7, 66, and 24 licenses.
• Bachelor's degree or equivalent experience.
• 3+ years 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.
• Excellent written and verbal communication skills.
• Willingness to travel for onsite inspections.

Responsibilities

• Conduct onsite and virtual inspections of RIA and BD offices.
• Review operations, books and records, supervision, marketing, client communications, and office controls.
• Evaluate compliance with SEC, FINRA, and firm policies.
• Review branch personnel activities for regulatory adherence.
• Assess advertising, social media, gifts, entertainment, and documentation requirements.
• Verify regulatory disclosures and licensing are maintained.
• Prepare inspection workpapers per departmental standards.
• Identify risks and coordinate remediation plans.
• Monitor remediation and escalate significant findings.

Skills

Compliance knowledge

Regulatory audits

Analytical skills

Communication skills

Project management

Travel willingness

Documentation

Education

Bachelor's degree or equivalent

Series 7, 66, 24 licenses

Tools

Compliance reviews

Job description

Wealth Enhancement is seeking an Office Inspection Analyst to perform risk-based inspections of RIA and BD branches, onsite or virtual, to ensure compliance with SEC, FINRA and firm policies. This remote role requires up to 50% travel and collaborates with leadership to remediate findings.

Active Series 7, 66, and 24 licenses are required, along with 3+ years in compliance or audits. The role includes a base salary range of $85,000 to $95,000 with eligible annual bonus and comprehensive benefits.