Remote Compliance Inspector: Office & Branch Audits
Plymouth, Hennepin County, Minnesota, USA
Listed on 2026-10-07
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Wealth Enhancement is seeking an Office Inspection Analyst to perform risk-based inspections of RIA and BD branches, onsite or virtual, to ensure compliance with SEC, FINRA and firm policies. This remote role requires up to 50% travel and collaborates with leadership to remediate findings.
Active Series 7, 66, and 24 licenses are required, along with 3+ years in compliance or audits. The role includes a base salary range of $85,000 to $95,000 with eligible annual bonus and comprehensive benefits.
Join us at Wealth Enhancement Group as our next Remote Compliance Inspector:
Office & Branch Audits in Plymouth, MN, United States.
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Remote Compliance Inspector:
Office & Branch Audits role in the description above.
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