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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. -
  • 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

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