Compliance Specialist
1 month ago
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.
2. Assist in managing/maintaining the firms compliance files and systems.
3. Review emails, trade blotters, correspondence, payment transactions, personal securities transactions, social media sites, and sales materials.
4. Conduct surveillance/training of the firms advisory accounts.
5. 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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