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Compliance Specialist

4 months ago

Las Vegas, United States The Wealth Consulting Group Full time

Compliance Specialist

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

  1. Ensure the firms compliance with WCG advisory and our broker-dealers policies and procedures and controls.

  1. Assist in managing/maintaining the firms compliance files and systems.
  1. Review emails, trade blotters, correspondence, payment transactions, personal securities transactions, social media sites, and sales materials.
  1. Conduct surveillance/training of the firms advisory accounts.
  1. Other responsibilities/projects that support the compliance obligations of the firm.

KNOWLEDGE, SKILLS AND ABILITIES

Requires:

o Minimum 4-7 years of related work experience in the financial services industryor regulatory experience.

o FINRA Series 7 & 24 required or ability to pass exams within a specified timeframe.

o College degree preferred.

o Understanding of broker-dealer and RIA policies and procedures.

o Thorough understanding of the firms products.

o Demonstrated use of sound business judgment.

o Excellent verbal and written communication skills.

o Strong analytical skills, detail-oriented, and ability to multitask.

o Able to learn, follow, and enforce policies and procedures.

Benefits of Employment:

Highly competitive compensation and bonus.

Medical, dental, and vision plans; HSA and FSA Accounts.

Company matched 401(k): immediate vesting.

Work remotely.

Community service program

Subsidized gym membership or health and wellness activities.

Opportunity for growth within the firm.

WCG is an equal opportunity employer.

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