Compliance Associate (Remote Work Option)
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 .
We have an exciting opportunity for a Compliance Associate! The Compliance Associate will assist with the coordination of annual compliance requirements and testing pursuant to SEC 206(4)-7. In addition, the Associate will assist with ERISA and retirement products and services. This role will work with the Investment Adviser Compliance team on Investment advisory and ERISA compliance as well as initiatives to build out controls and support business growth, in a remote capacity.
This is a Remote position.
In the spirit of pay transparency, we are excited to share the base salary range for this position is $65,000.00 to $75,000.00 , exclusive of bonuses and benefits. We encourage you to apply and provide us with your compensation expectations when you do. We're big on open conversations, so, let's have one.
Primary Job Functions
Coordinate RIA compliance requirements
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Assist with the development, testing and oversight of controls for the investment advisory platform.
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Collaborate with business partners to ensure compliance with processes, policies and regulatory requirements.
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Contribute to compliance risk assessments and conflict identification processes.
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Develop, analyze, and recommend policy and procedure changes based on business line review.
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Facilitate periodic reviews of processes with content owners to ensure execution aligns with policy.
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13H filing monthly and 13F filing quarterly.
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Review of GIPS reporting as new performance numbers are rolled out.
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Review and update of sales literature on website to ensure accuracy and timely information.
Oversee ERISA compliance requirements
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Provide strategic direction in maintaining and enhancing our compliance programs and establishing consistency across the firm relating to retirement products and services.
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Ensure compliance with the expanding regulatory requirements and contractual commitments affecting the firm, its clients, and the participants in retirement plans.
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Coordinate compliance activities impacting retirement services and products across the organization to identify areas of program improvement, assist with issue and problem resolution, and implement policies and procedures for retirement services and products.
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Proactively identify issues and easily shift priorities as needed to meet the varied needs of the business units supported.
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As new regulatory rules are passed and existing rules continue to evolve, works with partners to research, and understand the rules, as well as help determine or develop recommendations with regard to the impact to firm and various ERISA and Retirement platforms.
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Leverage existing technology solutions and identify new solutions to fulfill compliance responsibilities.
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Coordinate regulatory training requirements related to ERISA compliance.
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Maintain a thorough and up-to-date understanding of regulations governing the company’s business through ongoing education and involvement in industry groups.
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Collaborate and consult with stakeholders to make recommendations on the types of documents and information necessary to achieve compliance goals.
Provide Compliance Operations Support
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Compliance support for Advisory Solutions Group Trading Operations.
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Compliance support for Advisory S