Provides investment advice, evaluates client goals and financial standing, recommends suitable investment products, executes buy and sell orders, maintains client relationships, processes deposits, completes continuing education, and follows broker-dealer compliance, AML, and BSA requirements.

Manages relationships with 401(k) plan sponsors, providers, third-party administrators, advisors, and employees. Provides retirement-plan enrollment, education, transitions, and review meetings; supports investment policy and compliance documentation; maintains client records, CRM data, reports, and account documentation; assists with marketing seminars and trains service associates. Requires knowledge of ERISA, IRS guidelines, investment products, broker-dealer compliance, AML, and BSA requirements.

Provides investment advice, recommends suitable products based on client goals, executes buy and sell orders, processes deposits, maintains client communication, completes continuing education, and follows broker-dealer, AML, BSA, and other regulatory requirements.