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Entry-level training program preparing candidates for internal wholesaler or RIA internal consultant roles in financial services. Responsibilities include obtaining required FINRA and state insurance licenses, learning financial products and sales systems, completing training and projects, and supporting experienced wholesalers with territory management and product sales. The role requires strong communication, analytical, organizational, computer, and interpersonal skills, along with a bachelor's degree or equivalent experience.

Processes standard client and producer transactions using documented procedures and multiple software applications. Reviews information for completeness, identifies and escalates issues, communicates with customers, agents, and internal associates, documents transaction activity, and handles inbound and outbound calls. Maintains production and quality standards in a high-volume environment while learning life and annuity products.

Directs investment accounting operations, portfolio reporting, financial statement disclosures, regulatory compliance, and close processes for a multibillion-dollar investment portfolio. Ensures accurate accounting under US GAAP and Statutory Accounting Principles, reviews investment transactions, leads process improvements, manages reporting challenges, and oversees staff hiring, performance, and personnel actions.

Leads cross-functional projects from initiation through implementation and stabilization. Develops plans, schedules, budgets, governance, risk mitigations, and communications while coordinating business, technology, finance, compliance, sales, and vendor stakeholders. Supports technical deployments, system implementations, process improvements, operational controls, reporting, workflows, and organizational changes. Provides leadership updates, manages dependencies and deliverables, and partners on change management, training, and implementation activities.

Supports risk-based internal audits across the organization by testing processes, controls, and systems; conducting SOX and NAIC Model Audit Rule testing; documenting observations; evaluating remediation; and collaborating with management, audit teams, and external assurance providers. The role requires adherence to audit standards, regulatory expectations, quality and budget requirements, strong analytical and communication skills, and approximately 10–20% domestic travel.

Provides part-time office and business operations support, including answering customer calls, navigating multiple computer systems, following procedures, performing data entry and clerical tasks, and organizing priorities in a fast-paced environment. The role requires strong communication, professionalism, problem-solving, time management, and teamwork. Associates create flexible schedules of 18 to 29 hours weekly and support additional duties or projects as assigned.

Consults with wholesalers and financial, legal, and tax professionals to support sales of retirement and wealth strategies. Researches complex planning issues, develops case illustrations, presentations, marketing materials, and white papers, and delivers sales presentations and training. Partners with sales teams to prospect and close business while communicating sophisticated financial strategies and solutions. Requires an advanced professional designation, financial services registration, and at least five years of relevant experience. Limited travel may be required.

Identifies and collects advisor, policy owner, and claims-related debts; researches accounts, evaluates debit balances, negotiates repayment arrangements, and coordinates write-offs, settlements, refunds, and rejected-fund processing. The role monitors reports, communicates required actions to business units, and performs detailed accounting and system analysis to resolve payment issues.

Manage execution of SOX and Model Audit Rule compliance for IT controls, perform risk assessments, facilitate control owner training, support system implementations affecting internal controls over financial reporting, coordinate with internal and external auditors, evaluate and advise on IT control deficiencies and remediation, and support third-party IT risk assessments.

Provides comprehensive administrative support to a senior executive, including calendar and travel management, meeting coordination, correspondence, presentations, expense reconciliation, purchase orders, records management, and event planning. Serves as a liaison with internal and external stakeholders, handles confidential information, researches issues, and supports budgets and compliance using Microsoft Office and Oracle Financials.