Build, develop, and sustain strong relationships with key broker-dealer partners.
Serve as the primary point of contact for all broker-dealer inquiries, issues, and escalations.
Proactively engage with partners to understand their needs, address concerns, and ensure satisfaction with products and services.
Manage the overall partnership lifecycle, from onboarding, activation through ongoing day-to-day account management.
Identify opportunities for expanding existing relationships, advancing partnership opportunities in real time and increasing revenue generation.
Collaborate with internal teams (sales, marketing, compliance, legal, and operations) to develop tailored and mutually beneficial growth solutions and business initiatives.
Contribute to the creation and execution of strategic business development plans aimed at increasing market share and strengthening partnerships.
Ensure smooth operational processes between the company and broker-dealers, including daily reporting, mutual customer SLA’s, advisor compensation, sponsorship/corporate events and programs, and compliance matters.
Work closely with internal departments to monitor the performance and efficiency of broker-dealer relationships and resolve operational issues as they arise.
Provide ongoing training and resources internally and externally to broker-dealer partners on product offerings, processes, and compliance requirements.
Monitor and ensure adherence to regulatory requirements, industry best practices, and internal policies.
Stay up-to-date with industry trends, regulatory changes, and market dynamics that may impact broker-dealer relationships.
Work with compliance teams to address potential risks and ensure that broker-dealer relationships remain fully compliant with all applicable laws and regulations.
Track and report on key performance metrics for broker-dealer relationships, including lead volumes, revenue, SFDC and operational efficiency.
Prepare regular reports and presentations for senior management on the status and progress of broker-dealer partnerships (monthly and quarterly internally and externally).
Analyze data to identify areas for process improvements, cost reductions, or enhanced partnership regional opportunities.

Requirements

Bachelor’s degree in Finance, Business Administration, Economics, or a related field (or equivalent experience).
3+ years of experience in a broker-dealer or investment-related role, preferably in relationship management, business development, sales or operations.
Deep understanding of the broker-dealer landscape, financial markets, and securities trading processes.
Strong communication, negotiation, and interpersonal skills, with the ability to influence and engage senior stakeholders.
Excellent problem-solving abilities and a keen attention to detail.
Proficiency in Google Workspace, Microsoft Office Suite (Excel, PowerPoint, Word) and familiarity with CRM software and industry tools.
Knowledge of FINRA regulations, SEC guidelines, advisor compensation and other industry compliance standards.
Nice to have: FINRA Series 6 or Series 63 (or equivalent) license.
Experience working with a variety of broker-dealers, including independent firms, wirehouses, and regional broker-dealers.
Experience in a client-facing role with a focus on business development and relationship management.
Strong project management skills, with the ability to manage multiple priorities and deadlines effectively.

Benefits

A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
Top-of-the-line health plans, as well as dental and vision insurance
Competitive time off and parental leave
Addition Wealth: Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness
Lyra: Enhanced Mental Health Support for Employees and dependents
Carrot: Fertility healthcare and family forming benefits
Candidly: Student loan resource to help you and your family plan, borrow, and repay student debt
Monthly work-from-home stipend; quarterly lifestyle stipend
Engaging team-building experiences, ranging from virtual social events to team offsites, promoting collaboration and camaraderie.

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

relationship managementbusiness developmentsalesoperationsdata analysisproblem-solvingproject managementfinancial markets knowledgesecurities trading processesregulatory compliance

Soft Skills

communicationnegotiationinterpersonal skillsattention to detailinfluencingengagementcollaborationtrainingadaptabilitystrategic thinking

Certifications

Bachelor’s degreeFINRA Series 6FINRA Series 63