Compliance Specialist - Las Vegas, United States - The Wealth Consulting Group

Description

COMPANY 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 Compliance Specialist 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, procedures and controls.
• Assist in managing/maintaining the firm's compliance files and systems.
• Review emails, trade blotters, correspondence, payment transactions, personal securities transactions, social media sites, and sales materials.
• Provide audit 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 required or ability to pass exams within a specified timeframe.
• College or associate degree preferred.
• Extensive knowledge of broker-dealer and RIA policies and procedures.
• Thorough understanding of the firm's products.
• Demonstrated use of sound business judgment.
• Excellent verbal and written communication skills.
• Strong analytical skills, detail-oriented, and ability to multitask.
• Able to learn, follow and enforce policies and procedures.

Benefits of Employment:

• Competitive compensation and bonus structure.
• Company contributions to Medical, dental, and vision plans; HSA and FSA Accounts.
• Company matched 401(k): immediate vesting.
• Work remotely.
• Community service program.

WCG is an equal opportunity employer.