This role leads a practice group to drive strategic compliance programs for retail product and service distribution, including risk assessments and regulatory monitoring. The position also involves advising senior leadership, managing team performance, and overseeing the implementation of compliance policies and process improvements.
The Compliance Analyst supports broker-dealer compliance by conducting regulatory research, interpreting developments, and identifying risk exposures. Responsibilities include drafting policies, participating in examinations, analyzing compliance data, and recommending corrective actions.
The Relationship Manager develops and maintains deep relationships with advisors, plan sponsors, and third-party administrators to drive retention and growth. They collaborate on plan design, investment strategies, and retirement readiness while providing creative solutions to complex business issues.
Manage new business applications for disability insurance from initial receipt through closure while coordinating between financial professionals and underwriting. Facilitate case processing, track life cycles, and ensure service standards are met while providing regular updates to stakeholders.
You will lead, mentor, and develop a team of customer experience professionals while managing daily service operations and productivity. Additionally, you will analyze service data to drive process improvements and handle escalated client issues to ensure high-quality service delivery.
The RFP Content Lead will manage content strategy and development for RFPs and consultant databases while leveraging AI and automation to improve processes. They will partner with cross-functional teams to ensure content accuracy, compliance, and alignment with business growth objectives.
The Client Relationship Consultant will partner with the sales team and broker partners to develop and implement customized group benefit strategies. Responsibilities include managing an assigned block of business, performing renewal analysis, and selling new lines of business.
The consultant will partner with sales teams and brokers to develop customized group benefit strategies and manage an assigned block of business. Responsibilities include delivering renewal analysis, selling new lines of business, and executing strategic relationship plans.
The Assistant Director will support the Enterprise Financial Crimes team by overseeing AML programs for broker-dealer and RIA businesses. This role involves coordinating governance activities, risk assessments, regulatory reporting, and collaborating with cross-functional teams to enhance compliance effectiveness.
The internal wholesaler will develop and implement sales plans while providing support to financial professionals regarding various investment products. They are responsible for managing territory activities, handling product inquiries, and recording interactions within the CRM system.
The Retirement Education Specialist delivers group workshops and one-on-one consultations to empower participants in making informed financial decisions. They also partner with plan sponsors and advisors to develop and implement effective retirement education strategies.
