Teams at Equity Trust Company

Processes retirement and financial-services client account requests, including transfers, purchases, sales, distributions, reconciliations, maintenance, and closures. Provides client status updates, researches and resolves concerns, verifies data, coordinates asset transfers, maintains documentation, and collaborates with relationship managers, dealers, custodians, and internal teams. Meets service-level agreements while delivering accurate, timely, and client-focused support.

Lead the design, implementation, and management of integrations across proprietary platforms, custody systems, trading venues, blockchain services, compliance tools, and other third-party providers. Own data normalization, reconciliation, ledger synchronization, workflow automation, reporting, and client account infrastructure. Provide technical support during onboarding, troubleshoot integration issues, coordinate vendors, translate business requirements into technical solutions, and collaborate with technology, operations, risk, compliance, and client service teams.

Oversee brokerage compliance and risk obligations, including WSP updates, regulatory filings, AML monitoring, supervisory reporting, compliance training, regulatory surveillance, investigations, documentation, and annual compliance calendars. Partner with the CCO and departments on audits, regulatory requests, and corrective actions while advising employees on compliance requirements. The role requires extensive broker-dealer experience, FINRA and SEC knowledge, securities licenses, financial product expertise, and familiarity with compliance technology.