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Supports financial advisors with client service, financial information gathering, financial plan development, portfolio monitoring, investment research, meeting preparation, account order execution, and client relationship management. Uses financial planning, wealth management, CRM, and brokerage technology platforms. Also assists with marketing campaigns, events, webinars, and seminars while progressing toward CFP certification and maintaining required securities licenses.

Supports marketing, sales, and distribution of life, long-term care, disability insurance, and annuity products. Develops campaigns and promotional materials, analyzes campaign and sales data, educates financial advisors, coordinates training, manages vendors, supports compliance approvals, conducts provider due diligence, and participates in client presentations. Requires insurance product expertise, financial analysis skills, and securities and insurance licenses or the ability to obtain them.

Supports fee-based advisory operations, including account opening and maintenance, client billing, advisor compensation, funding, asset investment, fund disbursements, trade corrections, and coordination with custodians, asset managers, finance, trading, and external billing teams.

Supports lead financial advisors with client financial planning, portfolio monitoring, investment research, client meeting preparation, account execution, and relationship management. Uses financial planning, wealth management, CRM, and brokerage platforms to analyze client information and deliver timely service. Also assists with marketing campaigns, events, webinars, and seminars. Requires securities licensing, a finance-related bachelor’s degree, and 3–5 years of financial services experience.

Monitors client accounts and financial advisor activity for compliance with FINRA, SEC, and firm policies. Conducts trade surveillance, investigates suspicious activity, evaluates exceptions, recommends corrective actions, and develops prevention controls. Advises branch and home office staff, collaborates with compliance personnel, supports surveillance tools and reporting, drafts compliance communications, and provides regulatory expertise and updates to management.

Supports Financial Advisors and clients by managing account openings, maintenance, documentation, reports, scheduling, client inquiries, financial planning software data entry, and regulatory recordkeeping. Researches and resolves account issues, coordinates with home-office teams and vendors, assists with prospecting activities, and performs administrative duties while maintaining confidential information and a high-quality client experience.