Assist in mitigating legal exposure/risk to the WFG & TFA organizations by enforcing company policies, procedures, and regulatory requirements, by using basic knowledge of compliance concepts and principles. Work with instruction or guidance with applicable latitude for un-reviewed action or decisions; perform general assignments with direction and guidance from management.

Responsibilities 

  • Review WFG & TFA policies and procedures; identify and help to implement new and/or enhanced practices. 

  • Analyze processes, services, and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements. 

  • Compile information for completion of reporting, including reports for management and state/federal regulators. Based on the complexity of requests, perform analysis, identify trends, and follow up on opportunities for enhancement. 

  • Update and maintain complete and accurate policies, procedures, compliance logs, and files. 

  • Analyze company responses to regulatory complaints and assist with completion. 

  • Coordinate regulatory examinations. 

  • Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations. 

  • Review provided information for completeness and accuracy. 

  • Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements. 

  • Support the review and response to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels by gathering information. 

 

Qualifications 

  • Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience 

  • A basic knowledge of the securities laws, regulations, and rules 

  • Written and verbal communication skills 

  • Analytical and research skills 

  • Proficiency using MS Office tools 

 

Preferred Qualifications 

  • Series 7 & 24 or Series 6 & 26, as applicable 

  • Regulatory, securities, or advertising compliance experience 

 

Working Conditions 

  • This is a hybrid position requiring three days (Tuesday-Thursday) in office per week in one of our hub locations (Cedar Rapids, Baltimore, Philadelphia, or Denver). 

  • Relocation assistance will not be provided for this position

Compensation

The salary for this position generally ranges between $50,000 - $60,000annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus of 6% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. 

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This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.