Top Tech Jobs & Startup Jobs

Learns retail financial services, attends training, studies for required securities and insurance examinations, supports Financial Advisors with client meetings and administrative tasks, and begins developing business plans and knowledge of financial products, markets, compliance, client objectives, and risk tolerance. The trainee is expected to graduate to a Financial Advisor Associate after obtaining required registrations.

Oversees operational, administrative, and client-support functions across a financial services branch complex. Supervises, trains, hires, and evaluates support staff; coordinates workflow, compliance, documentation, account transfers, cashiering, wires, and home-office operations. Supports onboarding of financial advisors, maintains knowledge of firm systems and products, and coordinates recruiting and operational matters across branch offices.

Oversee client activities and operational compliance across a branch complex. Review account forms, correspondence, transactions, blotters, and exception reports; coordinate audits and corrective actions with Compliance, Legal, Operations, and Home Office teams. Maintain knowledge of financial products, systems, policies, and regulations. Conduct staff training, support Financial Advisor screening and onboarding, and escalate issues to the Complex Manager.

Supports the trade lifecycle across equities, fixed income, options, and derivatives by reconciling reports, booking and allocating trades, resolving discrepancies and settlement failures, processing corrections, setting up accounts, and monitoring regulatory reporting. The role collaborates with trading desks, counterparties, compliance, settlements, and other operations teams while identifying process improvements and escalating risk issues.

The Control Room Analyst monitors employee securities trading and potential conflicts of interest, including restricted-list activity, outside accounts, political contributions, gifts, and entertainment. The role investigates and resolves trading violations, performs compliance testing, monitors commission markups, maintains regulatory records, and escalates suspicious activity and risk anomalies. It requires strong analytical, organizational, communication, and problem-solving skills, along with financial services experience and proficiency in Excel.

Develops and executes strategic partnership strategy across financial institutions, professional services firms, fintech providers, and other organizations. Responsibilities include sourcing partners, negotiating commercial agreements, building implementation frameworks, monitoring partnership performance, driving referrals and advisor recruiting, and coordinating cross-functional initiatives. The role requires executive relationship management, financial and commercial analysis, regulatory awareness, and influence across the organization without direct authority.

Develops new client relationships through prospecting, manages existing accounts, and supports senior Financial Advisors. Assesses client goals, risk tolerance, tax and insurance considerations, and recommends investment strategies, asset allocations, and financial products. Builds investment plans, participates in client meetings, coordinates product purchases, develops business plans, and ensures compliance with firm and regulatory requirements.

Work alongside financial advisors to develop customized financial plans, provide investment and tax-related guidance, participate in client meetings, execute investment strategies, and manage planning data in MoneyGuide. The role serves as an expert on complex planning topics, stays current on regulations and market trends, contributes to financial planning content, and supports existing and new client relationships.

Oversees operational, supervisory, and compliance functions across three financial-services branches. The role monitors regulatory requirements, exception reports, trade corrections, account transactions, documentation, and risk controls; coordinates approvals and compliance training; manages technology and suppliers; supports branch events; and serves as a liaison between branch staff, the Complex Director, and home-office teams. It also provides training, coaching, and mentoring while promoting operational integrity and regulatory adherence.

Supports financial advisors by administering, marketing, and growing private client relationships. Responsibilities include client service, correspondence, coordinating with home-office departments, organizing productivity campaigns, using firm technology, resolving issues, and assisting with branch operations. Requires a high school diploma, strong customer service and communication skills, attention to detail, teamwork, ethical standards, and proficiency in Microsoft Office. Securities licensing is preferred or must be obtained within twelve months.