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Conduct risk-based compliance reviews of marketing and communications for registered investment adviser and broker-dealer businesses. Evaluate materials under SEC Marketing Rule, FINRA requirements, and applicable regulations; identify regulatory and reputational risks; provide practical guidance; maintain policies and controls; train stakeholders; monitor regulatory developments; support audits and examinations; improve review workflows and technology; and mentor team members.

Oversee and analyze client investment portfolios, execute trades, monitor allocations and risk exposures, prepare performance reports, and support tax-aware portfolio management. Conduct investment research, assist with private and alternative investments, and contribute to Investment Committee initiatives. Lead strategic projects involving business reporting, cash management, rebalancing, financial planning, and operational efficiency while supporting client meetings and mentoring team members.

Supports lead wealth advisors in delivering comprehensive services to high-net-worth clients. Responsibilities include preparing financial plans, retirement projections, cash flow analyses, and estate planning summaries; analyzing financial data; monitoring portfolios; assisting with investment reviews and rebalancing; coordinating with professional partners; handling client requests; maintaining compliant records; and supporting business development. The role offers mentorship and a path toward becoming a Wealth Advisor.

Supports advisory fee billing operations, including account onboarding and terminations, fee and refund calculations, billing test runs, reporting, audit documentation, and internal control compliance. Collaborates with advisor teams to resolve billing inquiries, maintain accurate records, support integrations and projects, and remediate discrepancies. The role requires strong financial analysis, billing systems, data accuracy, communication, and Excel skills.

Supports wealth advisors with client onboarding, review preparation, service requests, investment proposals, financial planning, advisory operations, relationship management, and regulatory compliance. The role requires investment management experience, financial planning knowledge, analytical and organizational skills, and securities licensing. CFP certification or progress toward certification is expected, while experience with eMoney, Salesforce, and Tamarac is advantageous.

Prepares client portfolio reports, consolidates alternative investment transaction and valuation data, integrates accounts and private investments, and performs data quality checks. The role develops data management procedures, supports compliance and audit controls, coordinates with fund managers and reporting teams, evaluates reporting technology, and assists with investment due diligence, market research, and client reporting projects.

Supports branch examinations and compliance testing through SQL-based analysis, dashboards, data validation, repeatable testing, risk identification, and remediation tracking. The role investigates exceptions and trends, communicates findings to nontechnical stakeholders, documents data logic and quality checks, and collaborates with compliance, business, examination, and technology teams. It also helps automate recurring reporting and testing using Alteryx, Power Automate, and Power Apps.

Executes and manages trades across equities, fixed income, derivatives, and foreign exchange. Monitors risk, compliance, positions, and trading performance while analyzing markets and developing strategies. Builds relationships with brokers, counterparties, and internal teams to optimize execution and liquidity. Maintains accurate trade records and applies hedging and other risk mitigation techniques. Requires strong capital markets knowledge, analytical ability, and proficiency with trading and order management systems.

Supports lead advisors in delivering wealth management services to high-net-worth clients. Responsibilities include preparing financial plans, retirement projections, cash flow analyses, and estate planning summaries; analyzing client data and portfolios; assisting with investment reviews and rebalancing; participating in client meetings; coordinating with professional partners; responding to service requests; maintaining compliant records; and supporting business development. The role offers mentorship and progression toward a Wealth Advisor position.

Manage and expand client relationships, onboard new clients, develop customized financial plans, conduct portfolio and planning reviews, prepare investment proposals, collaborate with referral partners, support business development, and ensure regulatory compliance. The role requires licensed financial services experience, CFP certification or attainment, knowledge of investment and retirement planning, and proficiency with eMoney, Salesforce, and Tamarac.