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Principal Review Analyst at Wealth Enhancement Group

Principal Review Analyst

Wealth Enhancement Group Plymouth, MN (On Site) Full-Time
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.

Our Corporate office in Plymouth, MN has an excellent opportunity for a Principal Review Analyst role. This position will have primary responsibility to lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. ( This position has opportunity for hybrid/ remote work)

Primary Job Functions
Have thorough understanding of firm’s policies and procedures and be able to communicate them to others.
  • WEG Principal Review Guidelines
  • LPL Guidelines – Approved Product List, Annuity Order Entry (AOE) process, Alternative Investments
  • Participate in presentations to new acquisition teams related to the Principal Review Team and what we do.
  • Contribute topics and assist in the development of Best Practices communications for Connections.
Review new business daily to ensure completeness and compliance with firm’s policies and provide principal approval (or resolve deficiencies) where appropriate.
  • Requires good rapport with the advisors and teams to clearly communicate requirements and how to resolve and communicate accommodations as appropriate.
  • Monitor and follow up on outstanding tasks on a timely basis.
  • Escalate issues to Senior Principal Review Analyst or Director of Supervision as needed.
Have thorough understanding of Salesforce workflow and queues related to principal review team.
  • Ensure both principal review queues are current.
  • Reviewing and approving Review Agenda Checklists.
  • Monitoring and follow up of Salesforce QC reports to identify business that was not submitted properly.
Collaborate with other members of the principal review team regarding trends, case studies, regulatory/product changes, or OSJ escalations.
  • Attend weekly team meetings
  • Attend bi-weekly ATO and Principal Review team meetings.
Other projects and/or delegation of OSJ duties as required.
  • OSJ Review Tool (ORT) tasks
  • Email Review
  • Non-Electronic Correspondence Review.
Education/Skill Requirements
  • Bachelor's Degree in business; finance, economics or related 5 years in Financial Services
  • FINRA Series 7, 66 (or 63 & 65), and 24 required.
  • Insurance (life, health/accident, variable lines of authority) required or ability to obtain within first year of hire.
  • Superior verbal and written communication skills.
  • Proficient with Microsoft Office Suite or related software.
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
Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at

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.

Recommended Skills

  • Communication
  • Economy
  • Finance
  • Investments
  • Microsoft Office
  • Presentations
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