[Hiring] Compliance Associate REMOTE USA
Position: Compliance Associate
Date Posted: October 1, 2025
Industry: Financial Services / Wealth Management
Employment Type: Full Time
Experience: 2–3 years in financial services compliance or a related field
Qualification: Estimated Qualification like Bachelor Degree holder, Diploma/Degree/Certificate in Finance, Business, or Compliance
Salary: $50,000 – $60,000 annually + corporate bonus eligibility
Location: United States [REMOTE]
Company: Wealth Enhancement Group
Description:
About the Company
Wealth Enhancement Group is an independent wealth management firm dedicated to providing personalized financial planning and investment management services to over 80,000 households across the United States. Operating from more than 140 offices nationwide, WEG combines a team-based approach with innovative processes to deliver comprehensive financial solutions that go beyond standard practices.
Role Overview
We are seeking a Compliance Associate to support the compliance department by assisting the Investigations, Complaints, and Office Inspections (ICI) team with administrative and operational activities. This position reports directly to the ICI Manager and plays a critical role in maintaining regulatory compliance and supporting the firm’s operational integrity.
Primary Job Functions:
- Office Inspections: Prepare both onsite and virtual WEG Advisory Services office inspections, distribute questionnaires via MyComplianceOffice, coordinate documentation requests, and assist with audits as needed.
- Additional Fiduciary Capacity Reviews: Track money movement in accounts where advisors hold fiduciary roles, coordinate annual accounting report requests, and support review activities.
- Client Complaints: Maintain logs and documentation of client complaints, assist with resolution documentation and retention.
- Investigations Support: Maintain records of investigations and track the status of ongoing inquiries.
Required Skills & Qualifications:
- 2–3 years of experience in financial services compliance or a related field
- Excellent verbal and written communication skills
- Proficient with Microsoft Office Suite or related software
- Ability to work independently and prioritize multiple projects and deadlines
- Self-motivated, proactive, with initiative, ownership, and leadership qualities
- Strong drive, enthusiasm, and a solid work ethic
Compensation & Benefits:
- Base salary range: $50,000 – $60,000 (exclusive of bonus); full salary grade $47,750 – $73,775
- Comprehensive medical, dental, and vision coverage for employees and families
- Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA)
- Life and AD&D insurance, short-term and long-term disability, workers compensation
- 401(k) plan with employer match and profit sharing
- Paid time off: 18 PTO days per year (25 after 4 years), 12 paid holidays, paid parental and caregiver leave
- Tuition, licensing, and credential reimbursement after meeting service requirements
- Wellness programs and voluntary benefits, including pet insurance
- Training and professional development opportunities
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