Job Description: About Wealth Enhancement Group Wealth Enhancement Group is an independent wealth management firm offering comprehensive and customized financial planning and investment management services. Founded in 1997, we now have over 75 offices nationwide and are rapidly expanding through organic growth and acquisition. Our mission is to work together to improve our clients’ lives by providing them with the team-based expertise and resources they need to simplify their financial life. We share perspectives. We explore every point of view. We believe the best ideas are born from collaboration. And we’re looking for like-minded individuals to join our team. Due to growth, our corporate HQ in Plymouth, MN is seeking a Director of Investment Adviser Compliance to create new and enhance existing investment adviser compliance programs for Wealth Enhancement Advisory Services (WEAS) and NorthCrest Asset Management (NCAM). This role has a hybrid or remote option and is part of a fast-growing, high-performing team. The salary target for this role is $140k—160k; this position is eligible for an annual bonus. We select our initial compensation target using national compensation survey data. When we make an offer, we then factor in things like tenure, performance, and geographic location to come up with the most accurate numbers. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one. Primary Job Functions Execute the annual Investment Adviser program assessment pursuant to SEC 206(4)-7 Conduct a risk assessment for WEAS and NCAM Evaluate the adequacy of WEAS and NCAM compliance policies and procedures Evaluate the effectiveness of WEAS and NCAM compliance program’s implementation Create and deliver a report of the results from the evaluation to the Chief Compliance Officer Support Compliance Operations with WEAS and NCAM Compliance Manual updates Create new compliance policies for WEAS and NCAM Revise existing compliance policies for WEAS and NCAM Assist in the re-write of the Compliance Manual for NCAM Assist in the training and education of compliance policies Product and Portfolio Compliance Support Provide compliance input and support for products and portfolio strategies offered through WEAS and NCAM Conduct compliance oversight of GIPS standards Conduct compliance oversight of portfolio and business strategies of NCAM Compliance consultant for the Investment Product Committee Support the monthly, quarterly, and annual regulatory filings Support Chief Compliance Officer with the annual WEAS and NCAM ADV filing Execute the monthly SEC 13F filing Execute the quarterly SEC 13H filing Support Chief Compliance Officer with ad hoc filings as needed Compliance support of WEAS and NCAM RIA Operations Compliance support for WEAS Trading Operations Compliance support for WEAS and NCAM proxy voting program Compliance support for WEAS and NCAM fee billing Compliance support, in partnership with the Chief Compliance Officer, for WEAS and NCAM client facing forms and agreements Conduct period assessments of sub-advisory arrangements Education | Qualifications: Bachelor's Degree in business; finance, economics or related 5 years’ experience in Financial Services, Investment Adviser focus FINRA Series 7, 24 & 66, preferred Experience with GIPS Compliance Standards, preferred Experience with retail financial advisor and investment products (equities/fixed income, mutual funds, REITs, variable and fixed annuities, etc.) Knowledge of financial markets, modern portfolio theory and asset allocation Comprehensive Benefits Offerings Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities: Training and professional development Medical and dental coverage 401k – with match and profit sharing Health care spending and savings accounts Dependent care spending account Vision coverage Wellness programs and resources Life insurance – employer paid Short-term and long-term disability – employer paid Paid Time Off 10 paid holidays each year Paid parental leave Tuition reimbursement IND123 Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700 Information provided on this application will be kept confidential and only be shared with those involved in the selection process. Equal Opportunity Employer, including disabled and veterans. If you want to view the EEO is the Law poster, please choose your language: English – Spanish – Chinese If you want to view the EEO is the Law Supplement poster, please choose your language: English – Spanish – Chinese If you want to view the Pay Transparency Policy Statement, please click the link: English Wealth Enhancement Group is a growing national independent wealth management firm dedicated to simplifying our clients’ financial lives. Wealth Enhancement Group is an independent wealth management firm offering comprehensive and customized financial planning and investment management services. Founded in 1997, we now have over 75 offices nationwide and are rapidly expanding through organic growth and acquisition. Our mission is to work together to improve our clients’ lives by providing them with the team-based expertise and resources they need to simplify their financial life. We share perspectives. We explore every point of view. We believe the best ideas are born from collaboration. And we’re looking for like-minded individuals to join our team. https://www.wealthenhancement.com/s/careers