Company: The Wealth Consulting Group
Location: Las Vegas
Posted on: June 24, 2022
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 Senior Compliance Associate 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 and procedures and controls.
- Assist in managing/maintaining the firm's compliance files and
- Maintain all advisor licensing and continuing education
- Review emails, trade blotters, correspondence, payment
transactions, personal securities transactions, social media sites,
and sales materials.
- Provide exam preparation to branches.
- Other responsibilities that support the compliance obligations
of the firm. -
KNOWLEDGE, SKILLS AND ABILITIES
- Minimum 3-5 years of related work experience in the financial
- FINRA Series 7 & 24
- College or associate's degree preferred.
- Extensive knowledge of WCG and broker-dealer's policies and
- Thorough understanding of WCG products.
- Demonstrated use of sound business judgment.
- Excellent verbal and written communication skills.
- Strong analytical skills, detail-oriented and ability to
- Able to learn, follow and enforce policies and procedures.
- Helpful: Knowledge of cybersecurity/information security
Keywords: The Wealth Consulting Group, Las Vegas , Compliance Specialist, Other , Las Vegas, Nevada
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