Provide supervisory compliance and relationship-management support to Financial Professionals, including reviewing securities activity, correspondence, regulatory documentation, and exception reports. Build partnerships through office visits, advise on growth and business strategy, handle escalations, and collaborate on policies, projects, and service improvements.
The Senior Compliance Examiner leads strategic compliance initiatives and conducts on-site and virtual audits of financial professional offices. They are responsible for monitoring adherence to industry regulations, training team members, and providing formal reports on audit findings to management.
The Advisor Liaison serves as the primary point of contact for financial professionals, providing relationship support, compliance oversight, and operational guidance. They are responsible for reviewing sales activity, resolving escalated issues, and supporting business growth through strategic collaboration.
The Managing Director will lead the growth and expansion of the financial planning outsourcing business by developing strategic initiatives and driving business development. They are responsible for managing client relationships, overseeing service delivery, and leading a team of financial planning professionals.
