Office Inspection Analyst

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 .

Our Compliance team has an exciting opportunity for an Office Inspection Analyst ! 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. 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
Office Inspections

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Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices.

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Review branch operations, books and records, supervision practices, marketing activities, client communications, and physical office controls.

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Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs).

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Review branch personnel activities for adherence to applicable regulatory and firm requirements.

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Assess office procedures relating to advertising, correspondence, social media, books & records, OBA, PST, gifts & entertainment, and client documentation requirements.

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Verify required regulatory disclosures, registrations, and licensing requirements are properly maintained.

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Complete inspection workpapers and supporting documentation in accordance with departmental standards.

Risk Identification & Remediation

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Identify compliance, supervisory, operational, and reputational risks during inspections.

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Document inspection findings, observations, and recommendations in a clear and defensible manner.

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Classify deficiencies according to firm-established risk ratings and escalation requirements.

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Coordinate with branch management and advisors to develop corrective action plans.

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Monitor remediation efforts and validate completion of corrective actions.

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Escalate significant findings, repeat deficiencies, and high-risk concerns to management.

Reporting & Analytics

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Prepare detailed inspection reports summarizing scope, findings, recommendations, and corrective actions.

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Track branch inspection metrics, recurring deficiencies, and emerging risk trends.

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Assist with risk assessments used to determine inspection frequency and scope.

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Gather and analyze relevant documentation, communications, and transaction history to support findings.

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Partner with Supervision, Legal, and leadership to assess risk and determine appropriate outcomes.

Education/Qualifications

- Active series 7, 66, and 24

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Bachelor's degree or equival