Father Gabriel Richard High School - Ann Arbor, Michigan

Vice President

• Meet regularly with existing clients to assess their evolving financial needs, goals, income, expenses, assets, liabilities, and risk tolerance to maintain and update comprehensive financial plans; Provide ongoing advice on investments, suggest suitable financial products, and work with our operations team to execute trades and adjustments to achieve client goals; Regularly review client accounts and market performance to recommend portfolio adjustments, ensuring plans remain effective as client circumstances and market conditions change; Educate clients on various investment options, financial strategies, and help them understand potential risks associated with different choices; Schedule and conduct regular client meetings, prepare detailed reports, and maintain proactive communication to address client questions and concerns; Work closely with the momentum team to ensure seamless service delivery and leverage combined expertise for optimal client outcomes; Maintain accurate client records, documentation, and ensure adherence to all financial regulations and fiduciary standards

VP, Wealth Advisor

• Meet regularly with existing clients to assess their evolving financial needs, goals, income, expenses, assets, liabilities, and risk tolerance to maintain and update comprehensive financial plans
• Provide ongoing advice on investments, suggest suitable financial products, and work with our operations team to execute trades and adjustments to achieve client goals
• Regularly review client accounts and market performance to recommend portfolio adjustments, ensuring plans remain effective as client circumstances and market conditions change
• Educate clients on various investment options, financial strategies, and help them understand potential risks associated with different choices
• Schedule and conduct regular client meetings, prepare detailed reports, and maintain proactive communication to address client questions and concerns
• Work closely with the momentum team to ensure seamless service delivery and leverage combined expertise for optimal client outcomes
• Maintain accurate client records, documentation, and ensure adherence to all financial regulations and fiduciary standards.

Compliance

• The Marketing Compliance Associate will ensure that all marketing and advertising materials adhere to legal and regulatory requirements, protecting both the company and its clients. This role will involve reviewing advisor and product materials, providing guidance, and staying up-to-date on relevant laws and industry best practices.
• Examine marketing materials, such as presentations, websites, and social media, to ensure they are accurate, truthful, and compliant with regulations.
• Offer support and advice to sales and marketing teams on how to create compliant materials.
• Help create and maintain internal policies and procedures related to marketing compliance.
• Identify potential compliance risks associated with marketing activities and implement strategies to mitigate them.
• Monitor changes in regulations and industry best practices to ensure continuous compliance.
• Collaborate closely with legal, compliance, and product teams to ensure a consistent approach to marketing compliance.
• Maintain records of all approved and reviewed marketing materials.
• Experience in financial compliance is required.
• Deep knowledge of relevant laws and regulations governing financial products and marketing, including SEC and FINRA rules.
• Familiarity with financial products and services such as investment products, insurance products, and financial planning services.
• The ability to analyze marketing materials and identify potential compliance issues.
• Meticulous attention to detail to ensure accuracy in all reviewed materials.
• The ability to communicate compliance requirements clearly and build relationships with various stakeholders as a trusted collaborator.
• Ability to act as a confident and trusted resource, building consensus and fostering stakeholder buy-in.
• More than just a decision-maker, you’re a transparent collaborator who can explain the rationale behind compliance decisions.
• Possession of the Series 63, 65, 7, 24, or 53 licenses, or a willingness to acquire one or more, is a plus!
• Competitive comp package that rewards impact
• Work alongside some of the brightest minds in fintech
• Ground-floor opportunity at a fast-scaling startup
• Chart your own growth path as we expand
• Full health benefits + 401(k) matching & Roth IRA options
• Unlimited PTO