Remote Compliance Inspector – Office Risk & Audit

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

Benefits offered by this job

Training and professional development

Medical, dental and vision

HSA with employer contributions

Life and AD&D insurance

Short/long-term disability

401k with match

Wellness programs

PTO and holidays

Parental and caregiver leave

Tuition reimbursement

Job summary

Wealth Enhancement Group, LLC is seeking an Office Inspection Analyst to conduct risk-based inspections of branch offices, onsite or virtual, and to verify compliance with SEC, FINRA, and firm policies. The role requires licensing (Series 7/66/24), a bachelor’s degree, and 3+ years in compliance or related areas, with up to 50% travel and a fully remote work arrangement.

You will document findings, categorize risks, and collaborate on corrective action plans.

Qualifications

• Active securities licenses (Series 7, 66, 24) required.
• Bachelor's degree or equivalent industry experience.
• 3+ years in compliance, supervision, examinations, or audits.

Responsibilities

• Conduct risk-based onsite and virtual inspections of RIA/BD branches.
• Review operations, books, records, supervision, and advertising practices.
• Identify regulatory and firm policy gaps and document findings.
• Coordinate remediation plans with branch management and advisors.
• Prepare inspection reports and track risk trends.

Skills

Series 7

Series 66

Series 24

Compliance knowledge

Audits & inspections

Written communication

Travel readiness

Education

Bachelor's degree

Job description

Wealth Enhancement Group, LLC is seeking an Office Inspection Analyst to conduct risk-based inspections of branch offices, onsite or virtual, and to verify compliance with SEC, FINRA, and firm policies. The role requires licensing (Series 7/66/24), a bachelor’s degree, and 3+ years in compliance or related areas, with up to 50% travel and a fully remote work arrangement.

You will document findings, categorize risks, and collaborate on corrective action plans.