Compliance Specialist

Company: The Wealth Consulting Group
Location: Las Vegas
Posted on: June 24, 2022

Job Description:

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 systems.
• Maintain all advisor licensing and continuing education requirements.
• 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
  

• Requires:
• Minimum 3-5 years of related work experience in the financial services industry
• FINRA Series 7 & 24
• College or associate's degree preferred.
• Extensive knowledge of WCG and broker-dealer's policies and procedures.
• 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 multi-task.
• Able to learn, follow and enforce policies and procedures.
  
  • Helpful: Knowledge of cybersecurity/information security requirements. -
    

Keywords: The Wealth Consulting Group, Las Vegas , Compliance Specialist, Other , Las Vegas, Nevada