The associate provides proactive virtual support to financial advisors by managing client account maintenance, onboarding, and administrative tasks. They act as a primary point of contact for client inquiries, ensuring high-quality service and timely resolution of complex situations.
The Financial Advisor Trainee will build an individual practice by balancing new client development, sales activities, and investment management. They are responsible for providing sound financial advice while maintaining appropriate account records and monitoring client portfolios.
The Senior Accountant manages corporate tax activities, including state tax compliance, audits, and the preparation of income tax provisions under ASC 740. They also lead technology improvement initiatives and provide guidance on complex tax research and financial transactions.
The role focuses on driving the growth of Taft-Hartley and institutional assets by managing relationships with investment consultants and plan sponsors. Responsibilities include executing sales plans, securing product ratings, and collaborating with internal teams to deliver impactful presentations.
Design and develop high-quality PowerPoint presentations, pitch books, and templates for Investment Banking while maintaining brand standards. Collaborate with bankers and business partners to transform complex financial data into clear, professional visual assets.
Conduct risk-based onsite branch examinations of retail brokerage offices to ensure compliance with federal and state regulations. Document testing activities, communicate findings to management, and provide compliance support to business partners.
Conduct risk-based onsite branch examinations of retail brokerage offices to ensure compliance with federal, state, and firm regulations. Document testing activities, communicate findings to management, and provide compliance support to business partners.
Execute risk-based branch examinations for FINRA-registered and non-registered Private Client Group branches. Document testing results, identify adverse trends, and communicate findings to branch management and compliance leadership.
Manage strategic client relationships for the Correspondent Clearing Division to drive loyalty, manage escalations, and grow assets. Lead strategic planning, marketing campaigns, and project development to enhance CCD platform adoption and profitability.
