[Hiring] Supervision Analyst REMOTE USA
Position: Supervision Analyst
Date Posted: August 8, 2025
Industry: Financial Services / Wealth Management
Employment Type: Full Time
Experience: Minimum 4 years in Financial Services
Qualification: Bachelor’s Degree in Business, Finance, Economics, or related field
Salary: $75,000 – $85,000
Location: United States – REMOTE
Company: Wealth Enhancement
Description:
Wealth Enhancement is a rapidly growing, independent wealth management firm with a mission to enrich the lives of its clients through holistic, personalized financial planning. With over 140 offices across the country and more than 80,000 households served, we are committed to delivering industry-leading service through our unique team-based Roundtable and UniFi processes.
We are currently looking for a Supervision Analyst to join our Compliance team. This remote position is ideal for someone with a keen eye for detail, a deep understanding of regulatory requirements, and a passion for financial services. The Supervision Analyst plays a vital role in overseeing new business activities to ensure they comply with company standards, broker/dealer policies, and regulatory frameworks.
Key Responsibilities:
• Demonstrate strong knowledge of internal policies, procedures, and industry regulations and serve as a go-to resource for others
• Stay current on firm policies, principal review procedures, and industry changes
• Monitor and reinforce internal controls to uphold compliance standards
• Contribute to training programs and assist newly acquired teams in understanding Supervision and Compliance functions
• Participate in crafting Best Practices communications
Daily Business Review:
• Evaluate new business submissions and trade alerts for accuracy and compliance
• Approve or escalate transactions as necessary
• Establish and maintain trustworthy relationships with advisors
• Track and follow up on outstanding issues or discrepancies in a timely manner
• Elevate complex concerns to the Supervision Manager when required
Workflow Management:
• Keep Salesforce business review queues and trade alert systems current and accurate
• Monitor quality control reports in Salesforce and address submission errors
Collaboration & Reporting:
• Work closely with other supervision team members to identify industry trends and emerging regulatory issues
• Attend regular team and Compliance department meetings
Additional Responsibilities:
• Review email communications and client correspondence for compliance
• Investigate and resolve refund and trade error cases
• Respond to general support inquiries through Help-General
Education & Certifications:
• Bachelor’s degree in Business, Finance, Economics, or related discipline
• FINRA Series 7, 66 (or 63 & 65), and 24 required
• Series 53 and 4 preferred or must be obtained within 6 months of hire
• Insurance license (life, health, accident, variable lines) required or must be acquired within one year
Skills & Abilities:
• Strong written and verbal communication skills
• Ability to analyze complex regulatory information and apply it accurately
• Proficient in Microsoft Office and CRM platforms such as Salesforce
• Highly organized with the ability to manage time effectively in a fast-paced environment
Compensation:
The base salary range for this position is $75,000 – $85,000, excluding bonuses and benefits. The full salary grade for individuals classified at this level ranges from $67,300 to $97,600, depending on experience, education, and market factors. This role is also eligible for the company’s corporate bonus program.
Benefits Package Includes:
• Comprehensive medical, dental, and vision coverage
• Employer-paid short-term and long-term disability, life, and AD&D insurance
• Health Savings Account (HSA) with company contributions
• Flexible Spending Accounts (FSAs) for healthcare, dependent care, and transit
• 401(k) plan with company match and profit sharing
• Paid parental and caregiver leave
• 18 PTO days annually (increases to 25 after 4 years of service)
• 12 paid holidays, including 2 floating days
• Tuition reimbursement and professional development support
• Wellness programs, voluntary benefits (e.g., pet insurance)
If you’re a driven compliance professional with strong industry knowledge and a desire to make a difference, we’d love to hear from you.
Disclaimer: The job details above are structured for clarity and based on publicly available content from recruiters/Company pages. All rights remain with the original source; names may be withheld for confidentiality. We are not involved in the hiring process.
