Top Tech Jobs & Startup Jobs

The Compliance Officer ensures advisors and associated persons comply with federal, state, SEC, FINRA, MSRB, and firm requirements. Responsibilities include researching regulations, communicating compliance requirements, reviewing applications and advertising, testing policies and procedures, supporting audits, and serving as a supervisory principal or subject matter expert. The role also contributes to compliance program development, risk assessment, investigations, and continuous improvement while handling sensitive information and collaborating across the firm.

Provide federal and state tax planning and projections for high-net-worth individuals and related entities. Research complex multistate tax issues, review returns for planning opportunities, collaborate with advisors and firm leadership, and use tax software and technology to improve client outcomes and firm efficiency. Represent the firm in professional forums and support business development.

Work directly with clients to create tailored financial plans, lead meetings, produce insurance illustrations, coordinate investment recommendations, maintain CRM and planning software, manage onboarding and client service, and cultivate referrals to retain clients.

Support sourcing, underwriting, due diligence, and execution of multifamily, office, and industrial investments. Build financial models (Excel/Argus), perform market research and sensitivity analyses, prepare investment memoranda, coordinate third-party reports, assist closings, and support asset management and disposition efforts.

Serve as an embedded internal wholesaler and real estate product specialist to enable advisors, drive capital formation, lead trainings, attend client meetings, coordinate cross-functional messaging, and manage advisor pipeline in Salesforce.

Lead client meetings, collect client data, build tailored financial plans, create insurance illustrations, recommend investments with advisory team, manage onboarding and service, maintain CRM and planning software, and deliver high-touch client service to retain and grow relationships.

Work directly with clients to prepare and lead meetings, develop tailored financial plans and insurance illustrations, deliver investment recommendations, manage onboarding and ongoing service, maintain CRM and financial planning software, track milestones, resolve client inquiries, and cultivate referrals to retain and grow client relationships.

Client-facing role preparing and conducting financial planning meetings, gathering client data, running insurance illustrations, constructing plans, communicating team recommendations, tracking planning next steps, entering and managing client information in CRM and planning software, performing follow-up, implementing concierge touches, resolving client issues, and supporting advisor-led client relationships.

Lead enterprise technology strategy and execution across a multi-affiliate organization. Advise executives, drive AI and cybersecurity governance, manage M&A tech due diligence and integrations, oversee IT budget, vendors, and the Director of IT, and directly contribute to high-priority technical projects and core platform implementations.

Lead client meetings, gather and organize client data, build tailored financial plans and insurance illustrations, communicate investment recommendations, manage onboarding and ongoing service, maintain CRM and planning software, track milestones, resolve client inquiries, and cultivate referrals while delivering high-touch client service.