Top Tech Jobs & Startup Jobs

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.

Plans and executes complex internal audits, SOX/MAR/FDICIA compliance activities, risk assessments, and control evaluations. Identifies control deficiencies, assesses exposure, recommends corrective actions, and monitors management action plans. Leads audit projects, manages scope and deliverables, coordinates with control groups, communicates risks and results to management, and provides leadership and audit knowledge to colleagues.

Leads global technology operations for mainframe database and network security environments. Oversees engineering teams, vendors, operational support, incident response, security monitoring, audits, roadmaps, governance, transformation projects, and lifecycle management. Drives security changes, troubleshooting, process improvements, automation, documentation, and collaboration with IT and senior leadership. Provides escalation and after-hours support for major incidents while ensuring technology availability, compliance, and alignment with business and architectural objectives.

Designs, engineers, deploys, and supports campus and data center networks in an IBM Mainframe environment. Leads routing and switching changes, monitors network performance and security, troubleshoots incidents, plans capacity, introduces automation, and develops scalable, reliable solutions. Provides technical leadership to internal teams, vendors, and contractors; contributes to architecture, documentation, project scoping, process improvements, and major incident resolution.

The Director leads the deferred compensation and LTIA programs, ensuring compliance, governance, and alignment with organizational goals while managing stakeholder relationships and vendor oversight.

Leads client and advisor analytics by designing, deploying, and monitoring machine learning, AI, forecasting, predictive modeling, and GenAI solutions. Translates business needs into analytical strategies, manages recommendation engine enhancements, ensures responsible AI and governance compliance, and communicates insights to technical and nontechnical stakeholders. Mentors peers and advances scalable data science practices across the organization.

Build a personal book of business under experienced financial advisors by prospecting, developing client relationships, supporting financial planning, analyzing client data, preparing recommendations, explaining products, and helping manage practice operations. The role requires obtaining securities and insurance licenses within 150 days, delivering a strong client experience, supporting marketing and client acquisition, and following regulatory and ethical standards.

Conduct branch and office supervisory jurisdiction inspections, investigate potential compliance violations and risks, interview advisors and leadership, evaluate supervisory effectiveness, communicate findings, and develop corrective action plans. The role requires knowledge of FINRA and SEC regulations, strong analytical and investigative skills, regulatory licensing, collaboration across teams, and approximately 20% travel.