Remote Office Compliance Inspector

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

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.