Compliance Specialist

1 month ago


Las Vegas, United States The Wealth Consulting Group Full time

COMPANY DESCRIPTION


The Wealth Consulting Group (WCG) is a leading independent wealth management firm headquartered in Las Vegas with branch offices located throughout the country. We are a dynamic company in a growth phase of our business and looking to rapidly gain market share. We believe in a collaborative environment rewarding individual results within a team effort. Our culture combines the best of traditional financial services models with the flexibility and swiftness of modern-day technology firms. 

 

SUMMARY OF POSITION

 

The Compliance Specialist will assist in the day-to-day supervision of WCG advisors and staff. This position ensures that documented processes and demonstrated controls are in place to maintain compliance both in Las Vegas and in-branch office locations. This position will report to the Chief Compliance Officer of the firm supporting the continued development and operation of the compliance program.

 

JOB DUTIES & RESPONSIBILITIES

 

  • Ensure the firm’s compliance with WCG and our broker-dealer’s policies, procedures and controls.
  • Assist in managing/maintaining the firm’s compliance files and systems.
  • Review emails, trade blotters, correspondence, payment transactions, personal securities transactions, social media sites, and sales materials.
  • Provide audit preparation to branches.
  • Other responsibilities that support the compliance obligations of the firm.


KNOWLEDGE, SKILLS AND ABILITIES


Requires:

  • Minimum 3-5 years of related work experience in the financial services industry
  • FINRA Series 7 & 24 required or ability to pass exams within a specified timeframe.
  • College or associate degree preferred.
  • Extensive knowledge of broker-dealer and RIA policies and procedures.
  • Thorough understanding of the firm’s products.
  • Demonstrated use of sound business judgment.
  • Excellent verbal and written communication skills.
  • Strong analytical skills, detail-oriented, and ability to multitask.
  • Able to learn, follow and enforce policies and procedures.

 

Benefits of Employment:

  • Competitive compensation and bonus structure.
  • Company contributions to Medical, dental, and vision plans; HSA and FSA Accounts.   
  • Company matched 401(k): immediate vesting.   
  • Work remotely.
  • Community service program.


WCG is an equal opportunity employer.



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