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Lead a Regional Growth Team to achieve sales goals, manage advisor relationships, and enhance organic growth. Oversee engagement plans and sales pipelines while collaborating with onboarding and sales teams.

Provide senior-level supervision and principal oversight of securities activities: review and approve accounts and trading, coach Financial Representatives, identify and remediate sales-practice and regulatory issues, partner with Compliance/Legal/Risk, support training and process improvements, mentor junior staff, and promote a culture of compliance and accountability.

Support Wealth Managers by onboarding clients, managing CRM data and account openings, serving as client point of contact, handling transactions and documentation, ensuring compliance, and improving client service processes.

Provide administrative and client-support to financial advisors: handle client paperwork and transactions, schedule appointments, prepare meeting materials and reports, maintain client records in CRM systems, conduct proactive outreach, organize events, ensure compliance with corporate procedures, and communicate with internal teams and clients.

Handle client inquiries and correspondence, prepare client review materials and account paperwork, maintain CRM, process contributions/distributions, liaise across departments, support Financial Planning Consultants, train assistants, and recommend process improvements to increase office efficiency.

Manage advisor experience for a regional growth team by resolving escalations, coordinating cross-functional resources, driving adoption of AdviceWorks, monitoring SLAs and ticketing, and coaching advisors/practices to improve efficiency and reduce service issues.

Execute buy and sell orders for stocks, bonds, mutual funds and other investment products; support registered representatives; resolve trade issues; ensure compliance and verify licensing.

Greet visitors, answer phones, manage office events/meetings, handle mail and vendor relationships, maintain office operations and inventory, coordinate maintenance, and support cross-functional teams with administrative and budgeting tasks.

The Client Services Representative supports Financial Advisors by managing client relationships, preparing paperwork, and improving customer service. Responsibilities include scheduling, client communication, organizing events, and maintaining compliance.

Lead full-cycle recruiting for sales, business development, and growth roles. Partner with sales leaders to build pipelines, source passive candidates, deliver high-touch candidate experiences, track pipeline health in Oracle Recruiting Cloud, provide market and compensation insights, support workforce planning, ensure regulatory compliance, and continuously improve hiring strategies.