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Processes, audits, reconciles, and approves routine and complex financial transactions for high-priority accounts. Researches and resolves escalated issues, communicates resolutions to advisors, clients, and internal partners, manages a high-volume workload, ensures regulatory and internal compliance, and identifies and implements process improvements. May perform frontline underwriting and participate in departmental projects.

Develops and executes integrated marketing communications programs for wealth management solutions. Creates marketing collateral, sales literature, articles, emails, social posts, scripts, and FAQs; coordinates cross-functional teams and internal partners; ensures legal and compliance alignment; tracks engagement and business outcomes; and recommends improvements to drive advisor awareness, product knowledge, sales, and growth.

Leads research, selection, due diligence, monitoring, and recommendations for liquid alternative investment managers across mutual funds, SMAs, and ETFs. Evaluates investment processes, performance, risk, portfolio construction, and operations; maintains manager coverage; prepares research reports and scorecards; presents recommendations to committees and senior stakeholders; engages external asset managers; and supports advisor education, product development, and marketing initiatives.

Supports financial advisors by gathering and reviewing client information, preparing preliminary financial plans, creating meeting materials, developing initial portfolio and product recommendations, tracking follow-ups, maintaining practice systems, assisting clients, and supporting compliance and practice management activities.

Supervise annuity and insurance business activities by reviewing advisor interactions, assessing suitability and risk, approving or rejecting applications, and ensuring regulatory compliance. The role involves coaching advisors, communicating with clients and field leaders, researching regulatory matters, supporting process improvements, monitoring industry changes, and representing the firm during examinations and investigations.

Supports experienced financial advisors by developing client relationships, building a personal prospect pipeline, gathering and analyzing client data, preparing financial plans, recommending products, supporting marketing and client acquisition, and managing selected practice operations. The associate must obtain required securities and insurance licenses within 150 days, participate in coaching, follow regulatory standards, and help deliver a differentiated client experience.

Supports experienced financial advisors by developing client relationships, building a personal business pipeline, assisting with financial planning, analyzing client data, preparing recommendations, supporting marketing and client acquisition, explaining financial products, and helping manage practice operations. The role requires obtaining securities and insurance licenses within 150 days and maintaining high ethical and regulatory standards.

Supports financial advisors with client financial planning, data gathering, case analysis, recommendations, portfolio solutions, trades, and client meetings. Manages client relationships, records, correspondence, compliance support, business processes, staff guidance, and small practice projects. The role also assists with business development, product recommendations, market monitoring, client seminars, and ongoing practice operations.

Provides strategic leadership for financial and regulatory reporting across mutual funds and other investment products. Oversees audits, service providers, governance, controls, technical accounting, regulatory filings, and risk management. Partners with legal, tax, audit, product, and fund administration teams on reporting impacts and business changes. Leads process improvements, automation, reporting transformations, and implementation of accounting standards while developing reporting staff and ensuring accurate, compliant, scalable operations.

Leads profitable growth across a multi-office financial services complex by managing P&L, recruiting and developing advisors and branch managers, driving client and asset growth, coaching performance, supervising sales activities, maintaining compliance, and optimizing resources. The role requires frequent branch visits, strong leadership, recruiting, business planning, risk management, and execution of growth strategies.