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Supports compliance operations for three SEC-registered investment advisory firms. Responsibilities include advisor and employee onboarding compliance, monitoring certifications and disclosures, reviewing marketing and communications materials, maintaining regulatory records, tracking deadlines, supporting filings and vendor due diligence, coordinating training, identifying deficiencies, preparing reports, and assisting with regulatory examinations. The role requires strong organization, confidentiality, communication, attention to detail, and familiarity with regulated financial services environments.

Supports regulatory compliance programs for three SEC-registered investment advisory firms. Responsibilities include compliance testing, annual reviews, risk assessments, advisory account reviews, fee and trading activity testing, investment product due diligence, conflict-of-interest evaluations, Form ADV maintenance, SEC examination support, corrective action tracking, and compliance reporting. The role also assists with policy updates and oversight of investment managers, subadvisors, and third-party platforms.

Build and grow a client base through prospecting, networking, referrals, presentations, relationship management, lead generation, and client onboarding. The role emphasizes business development and client acquisition rather than financial analysis or investment research. Advisors collaborate with financial planning and portfolio management teams, learn financial concepts and regulations, and earn performance-based compensation tied to client acquisition and retention.

Acquire and onboard new financial planning clients through networking, referrals, prospecting, presentations, social media, and community involvement. Build and manage a pipeline, develop long-term client relationships, guide onboarding, and collaborate with financial planning and portfolio management teams. The role emphasizes sales, business development, client service, persistence, and performance-based results rather than financial analysis or investment research.

Financial Advisor focused on client acquisition, business development, networking, sales presentations, lead generation, relationship management, and client onboarding. The role emphasizes prospecting through personal and professional networks, presenting financial planning solutions, maintaining a client pipeline, and collaborating with planning and portfolio management teams. Compensation is performance-based and tied to client acquisition and retention. The position is in-office in Charlotte with approximately 10% travel.

Build and grow a client base through prospecting, networking, referrals, presentations, relationship management, and client onboarding. Financial Advisors educate prospective clients about financial planning solutions, develop business opportunities, maintain a prospect pipeline, and collaborate with planning and portfolio management teams. The role emphasizes sales, client acquisition, persistence, communication, and performance-based results rather than financial analysis or investment research.

Build and grow a client base through prospecting, networking, referrals, presentations, relationship management, lead generation, and client onboarding. The role emphasizes business development and performance-based sales rather than financial analysis or investment research. Advisors collaborate with financial planning and portfolio management teams, develop knowledge of financial services, and provide solutions aligned with client objectives.

Build and grow a client base through prospecting, networking, referrals, presentations, relationship management, and client onboarding. Financial Advisors develop business opportunities, communicate financial planning solutions, nurture prospects and clients, and collaborate with planning and portfolio management teams. The role emphasizes sales, client acquisition, persistence, and relationship building rather than financial analysis or investment research. Compensation is performance-based and tied to client acquisition and retention.

Acquire and onboard new financial planning clients through networking, referrals, social media, community involvement, presentations, and persistent follow-up. Build and manage a prospect pipeline, develop client relationships, communicate financial solutions, and collaborate with planning and portfolio management teams. Compensation is performance-based and focused on client acquisition and retention rather than financial analysis or investment research.

Build and grow a client base through prospecting, networking, referrals, presentations, relationship management, lead generation, and client onboarding. The role emphasizes business development and client acquisition rather than financial analysis or investment research. Advisors collaborate with financial planning and portfolio management teams, educate clients on financial solutions, and work under performance-based compensation tied to acquisition and retention.