Supervision Analyst

📋 Description

• • The Supervision Analyst leads the daily review process for all lines of new business to ensure compliance with firm, broker/dealer, and regulatory guidelines, playing a critical role in maintaining the integrity and trust of Wealth Enhancement Group’s financial services.
• • Day to day, the analyst conducts thorough, timely reviews of transactional business and trade alerts, monitors Salesforce queues for completeness, builds relationships with advisors, escalates issues to the Supervision Manager, and collaborates on trends, regulatory changes, and case studies with the supervision team.
• • Wealth Enhancement Group is an independent wealth management firm serving over 80,000 households across 140+ offices nationwide, known for its personalized financial planning through the Roundtable and UniFi processes, and a commitment to raising industry standards since 1997.
• • In this role, the analyst will deepen expertise in financial services compliance, develop leadership in supervisory processes, gain exposure to FINRA-regulated workflows, and contribute to best practices that support firm-wide integrity and advisor success.