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Handle dedicated dealer client requests including account openings, transfers, purchases/sales, distributions, reconciliations and file maintenance. Provide status updates, resolve issues, coordinate with Relationship Managers and Dealers, maintain accurate client data, meet SLAs, and follow document retention procedures while supporting continuous improvement and collaboration.

Lead compliance functions for a brokerage firm: maintain Written Supervisory Procedures, support AML program and supervisory reviews, manage regulatory filings and vendor oversight, develop compliance training, investigate issues, oversee supervisory activities, maintain documentation, coordinate regulatory responses, and support firmwide compliance initiatives.

Design, develop, test, deploy, and maintain financial web and Windows applications. Translate business requirements into scalable solutions, perform code reviews, debugging, and integration via APIs/SDKs/message queues. Maintain documentation, disaster recovery procedures, change control, and support application releases and enhancements.

Serve as single point of contact for new client account setup and funding. Manage client pipeline, verify transfer documentation, coordinate with sales and operations, assist clients with online portal registration, and deliver empathetic, timely service to improve retention and referrals.

Support clients and investment sponsors with onboarding and servicing self-directed investments (private equity, hedge funds, real estate). Manage team inboxes, client queues, chats, follow-up calls, process onboarding forms and overflow transactions, maintain CRM records, clean up client data reports, and assist on special projects.

Serve as the technical liaison between Sales, Product, and Operations to translate client needs into feasible solution designs. Scope implementations, identify reuse versus net-new work, produce design documents, model costs and trade-offs, flag architectural conflicts, and ensure requests are scoped and prioritized into the product roadmap while supporting sales proposals and expectations.

Lead development and operation of the firm's enterprise risk management framework. Identify, assess, monitor, and mitigate credit, market, liquidity, operational, regulatory, reputational, and strategic risks. Produce risk reporting for leadership and board, embed risk-aware decision-making, support regulatory exams, manage vendor due diligence, and lead a risk team while advancing risk analytics, policies, and governance.

Administer, configure, and optimize Workday HCM modules; ensure data integrity and integrations; build reports and dashboards; provide tier 2/3 user support and training; manage releases, testing, and HRIS projects to improve HR processes.