Remote Compliance Inspector: Office & Branch Audits
Plymouth, Hennepin County, Minnesota, USA
Listed on 2026-10-17
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Quality Assurance - QA/QC
Regulatory Compliance Specialist
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.
Our team is growing, and we are hiring a Remote Compliance Inspector:
Office & Branch Audits in Plymouth, MN, United States.
We would love to welcome a new Remote Compliance Inspector:
Office & Branch Audits to our team in Plymouth, MN, United States.
For the Remote Compliance Inspector:
Office & Branch Audits position at Wealth Enhancement Group, we are reviewing applications now.
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