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The Control Room Analyst monitors employee securities trading and potential conflicts of interest, including restricted-list activity, outside accounts, political contributions, gifts, and entertainment. The role investigates and resolves trading violations, performs compliance testing, monitors commission markups, maintains regulatory records, and escalates suspicious activity and risk anomalies. It requires strong analytical, organizational, communication, and problem-solving skills, along with financial services experience and proficiency in Excel.

Develops and executes strategic partnership strategy across financial institutions, professional services firms, fintech providers, and other organizations. Responsibilities include sourcing partners, negotiating commercial agreements, building implementation frameworks, monitoring partnership performance, driving referrals and advisor recruiting, and coordinating cross-functional initiatives. The role requires executive relationship management, financial and commercial analysis, regulatory awareness, and influence across the organization without direct authority.

Develops new client relationships through prospecting, manages existing accounts, and supports senior Financial Advisors. Assesses client goals, risk tolerance, tax and insurance considerations, and recommends investment strategies, asset allocations, and financial products. Builds investment plans, participates in client meetings, coordinates product purchases, develops business plans, and ensures compliance with firm and regulatory requirements.

Work alongside financial advisors to develop customized financial plans, provide investment and tax-related guidance, participate in client meetings, execute investment strategies, and manage planning data in MoneyGuide. The role serves as an expert on complex planning topics, stays current on regulations and market trends, contributes to financial planning content, and supports existing and new client relationships.

Oversees operational, supervisory, and compliance functions across three financial-services branches. The role monitors regulatory requirements, exception reports, trade corrections, account transactions, documentation, and risk controls; coordinates approvals and compliance training; manages technology and suppliers; supports branch events; and serves as a liaison between branch staff, the Complex Director, and home-office teams. It also provides training, coaching, and mentoring while promoting operational integrity and regulatory adherence.

Leads firm-wide advisory pricing strategy, business-mix development, and advisor enablement. Sets pricing philosophy, advises senior leadership, resolves complex pricing exceptions, supports recruit negotiations, coaches advisors, and drives adoption of fee-based advisory relationships. Designs workshops and enablement programs, partners with Revenue Operations and Advisory Solutions, develops coaching capabilities, and influences enterprise strategy through pricing and business-economics expertise.

Supports financial advisors by administering, marketing, and growing private client relationships. Responsibilities include client service, correspondence, coordinating with home-office departments, organizing productivity campaigns, using firm technology, resolving issues, and assisting with branch operations. Requires a high school diploma, strong customer service and communication skills, attention to detail, teamwork, ethical standards, and proficiency in Microsoft Office. Securities licensing is preferred or must be obtained within twelve months.

Supports financial advisors with client relationship management, financial planning analyses, meeting materials, account documentation, onboarding, portfolio strategy implementation, and ongoing service. Handles client communications, scheduling, follow-up, and operational workflows while developing expertise in investments, wealth transfer, estate and trust planning, and family governance. Requires securities licenses, financial services experience, strong organization, communication, and client-service skills.

Supports financial advisors by administering, marketing, and growing client relationships. Responsibilities include providing timely customer service, handling client correspondence and inquiries, coordinating with home-office departments, organizing productivity campaigns, using firm technology, and identifying potential issues. The role requires strong communication, attention to detail, teamwork, ethical standards, and proficiency with Microsoft Office. Financial services experience and securities licenses are preferred, though unlicensed candidates may obtain them within 12 months.

Supports financial advisors by administering, marketing, and growing client relationships. Provides responsive client service, coordinates with home-office departments, prepares correspondence, organizes productivity campaigns, uses firm technology, and handles operational responsibilities. Requires strong communication, attention to detail, teamwork, ethical standards, and proficiency with Microsoft Office. Securities licensing is preferred or must be obtained within twelve months of hire.