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Support Registered Representatives by preparing and processing client paperwork and transactions, scheduling meetings, maintaining client relationships, managing compliance-related recordkeeping, and providing client-facing service and technology education. Act as liaison between advisors, clients, and internal departments while following FINRA guidelines and supporting advisor business planning and client outreach.

Lead and execute assigned privacy program components for a FINRA/SEC-registered firm. Manage privacy intake, data inventory and mapping, vendor privacy risk assessments, and incident management. Partner with Legal, Risk, Procurement, and technology teams to assess risk, update policies, and implement remediation. Drive process improvements and ensure alignment with GLBA, Regulation S-P, and internal standards.

Support daily business operations by assisting the Operations Manager, enforcing policies, performing administrative tasks, setting up and maintaining investment accounts, managing broker-dealer custodial software, updating CRM data, coordinating schedules and billing, and collaborating across departments to ensure operational deadlines are met.

The Senior Salesforce Engineer will design and implement scalable Salesforce solutions, focusing on contact center capabilities and automation. Responsibilities include leading project delivery, driving technical design, and collaborating with teams to enhance client experiences using emerging technologies.

Process and research commission inquiries for advisors, analyze commission cases, resolve issues within service levels, identify root causes and efficiencies, support commission statement training, answer customer calls, and work on complex projects with attention to detail.

Write, edit, and publish internal news, features, and employee profiles; manage email campaigns via Marketo; maintain SharePoint intranet content and editorial calendar; coordinate virtual town halls; audit channels and report KPIs; integrate DEIB priorities and support the Internal Communications team on projects.

Lead end-to-end integrations of acquired RIA firms, serving as primary advisor contact. Manage 4–6 concurrent integrations, coordinate cross-functional teams (Legal, Compliance, Finance, HR, IT), create transition plans, track metrics, communicate progress to leadership, and ensure smooth account/platform transitions and advisor satisfaction.

The Client Services Representative serves as a liaison for clients, managing onboarding, communication, and ensuring smooth legacy planning services.

The Senior Insurance Sales Specialist drives advisor adoption of life, long-term care, and disability insurance, providing tailored solutions, training, and collaborative strategies to enhance client outcomes and advisor capabilities.

The Supervision Specialist will oversee representatives, review transactions, educate financial professionals on compliance, and collaborate with teams for operational excellence.