Mariner

Financial Planning and Analysis

• Partner with advisors to support proposals, client consultations, and high-stakes presentations, ensuring the effective and consistent application of Mariner’s investment platform.
• Serve as a primary point of contact, fostering collaboration and information flow between the Investment Strategy team, advisors, and internal Mariner strategies—particularly in equity-focused approaches, as well as fixed income, structured notes, and private investments.
• Collaborate with the Managing Director and Investment Strategy Team to conceptualize and deliver allocation models, advisor tools, and resources that integrate Mariner’s diverse investment offerings.
• Represent Mariner Investments as a client-facing authority across all client segments, from emerging affluent to UHNW clients and prospects.
• Help build and enhance the capabilities of the Investment Strategy Team, including mentoring strategists of varying experience levels and supporting education/onboarding efforts.
• Stay informed on trends and innovations in the wealth management sector, ensuring Mariner remains at the forefront of client-focused investment solutions.
• Synthesize outputs from Research, OCIO, and Internal Strategies into comprehensive, client-ready solutions tailored to specific business unit needs.
• Promote a culture of message consistency, objectivity, and client-centrism across the team.

Director, Investment Strategy

Compliance

• Lead and continuously enhance the firm’s enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives.
• Develop and execute a strategic vision for the compliance function that supports growth and operational excellence.
• Serve as a key advisor to the Chief Risk Officer, providing insights and recommendations on compliance risks, regulatory trends, governance, and program effectiveness.
• Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management.
• Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders.
• Serve as designated Chief Compliance Officer for regulated entities as assigned.
• Collaborate with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where appropriate.
• Identify and implement technology-enabled solutions to reduce manual work, improve consistency, and enable compliance professionals to focus on higher-value activities.
• Guide compliance frameworks and oversight practices to support the firm’s digital transformation and adoption of new technologies.
• Promote a collaborative, inclusive, and high-performing culture within the compliance team.
• Mentor and develop compliance leaders and staff, building organizational capability in anticipation of future needs.
• Foster alignment and shared accountability across the compliance organization for an effective, unified program.
• Champion innovation, continuous improvement, and responsible experimentation.
• Escalate significant compliance issues and emerging risks transparently and promptly.

Senior Vice President, Compliance

Administration

• Administer and govern our enterprise Slack workspace, including user provisioning, channel management, app permissions, and workspace settings.
• Develop and manage the Slack/Salesforce FSC integration workstream in collaboration with the FSC development team.
• Configure and manage Slack Connect channels to support external advisor and partner communications.
• Evaluate, deploy, and manage Slack apps and workflow automations using Workflow Builder to drive efficiency for advisor operations teams.
• Enforce compliance and data retention policies through close coordination with Legal, Compliance, and IT Security teams.
• Monitor and analyze workspace usage, generating insights to inform and enhance our communication strategy.
• Act as the internal subject matter expert and point of escalation for all Slack-related technical and usage issues.
• Maintain up-to-date documentation for workspace configuration, integration architecture, and governance protocols.

Slack Administrator

Salesforce Developer

• Serve as the FSC solution architect, owning the technical design of new capabilities including data model decisions, integration points, and UX patterns
• Lead development of advanced Salesforce features using Apex, Lightning Web Components (LWC), and declarative tools (Flow, OmniStudio)
• Design and maintain the FSC data model including Households, Financial Accounts, Relationships, Goals, and custom extensions
• Define and enforce development standards, code review practices, and deployment processes across the Salesforce team
• Collaborate with Agentforce and MuleSoft Developers to design cohesive, cross-platform architectures
• Lead technical discovery sessions with business stakeholders and translate requirements into well-scoped platform solutions
• Oversee org health by driving technical debt reduction, governor limit management, and performance optimization
• Support Salesforce release management activities, including sandbox strategy, change set/metadata API deployments, and governance of releases
• Evaluate and guide the platform's adoption of new Salesforce features, such as those on the Agentforce and Einstein roadmaps

Senior Salesforce Solution Architect

Software Engineer

• Architect, develop, and sustain integration layers connecting Salesforce Financial Services Cloud to financial planning platforms
• Design and develop integrations on MuleSoft Anypoint Platform
• Build and maintain RESTful and SOAP APIs using RAML/OAS
• Implement error handling, retry mechanisms, monitoring, and alerting
• Collaborate with FSC solution architects to interpret business requirements
• Own the API lifecycle and coordinate with corporate IT for integration ownership
• Troubleshoot integration issues and perform root cause analysis

MuleSoft Integration Developer

• Lead the design and implementation of AI-powered automation within Salesforce Financial Services Cloud (FSC) ecosystem
• Architect and deploy Agentforce agents, autonomous workflows, and AI-enhanced advisor tools
• Automate advisor workflows, client service activities, and operational processes
• Develop and optimize agent topics, actions, and instructions using advanced prompt engineering
• Integrate Agentforce with MuleSoft APIs, external data feeds, and financial planning platforms
• Partner with FSC Solution Architects to align agent solutions with CRM data models, security frameworks, and best practices
• Implement Salesforce Einstein features to deliver actionable insights and recommendations for advisors
• Conduct comprehensive testing and monitor agent performance, analyze usage data, and refine workflows

Agentforce Developer

• Serve as the primary administrator for a ~100-user Salesforce org utilizing Financial Services Cloud and Einstein 1 licenses.
• Oversee user setup, profiles, permission sets, role hierarchy, queues, and security controls.
• Maintain data integrity through validation rules, duplicate management, and scheduled data audits.
• Develop and manage reports, dashboards, and list views to deliver actionable business insights.
• Deliver end-user support and training; create documentation outlining system processes and best practices.
• Design and implement scalable solutions using Apex (triggers, classes), Lightning Web Components (LWC), Flows, and other programmatic tools.
• Customize FSC objects, record types, page layouts, and business processes tailored to the wealth management/RIA industry.
• Integrate third-party applications, including document management, e-signature, custodial platforms, and marketing automation systems.
• Leverage Einstein 1 features to provide AI-driven insights such as predictive analytics, opportunity scoring, and workflow optimization.
• Identify and develop use cases for embedded AI within Salesforce.
• Manage large volumes of structured and unstructured data in Salesforce Data Cloud to create unified and harmonized client profiles.

• Originate and cultivate middle-market investment banking opportunities
• Leverage Mariner's advisor network for sell-side, recapitalization, and strategic advisory opportunities
• Serve as a strategic advisor to founder-led businesses
• Lead client engagements throughout the transaction lifecycle
• Direct end-to-end transaction execution
• Partner with investment banking and legal teams for integrated advisory solutions
• Drive business growth and market expansion
• Maintain accountability for transaction quality and client satisfaction
• Mentor and develop investment banking professionals

Managing Director, Investment Banking

• Serve as the primary for assigned retirement plans, participants, and client relationships by delivering ongoing financial education and support.
• Partner with internal stakeholders, consultants, and employer groups to design and execute initiatives improving participant engagement and plan utilization.
• Facilitate educational group meetings and one-on-one sessions, including webinars, workshops, enrollment meetings, and consultations on retirement, investing, budgeting, and financial wellness.
• Provide broad-based financial guidance, helping individuals evaluate options concerning investments, insurance, tax awareness, and long-term financial planning.
• Identify participant needs requiring specialized support and coordinate referrals to Mariner’s wealth management or advisory professionals.
• Translate financial concepts into actionable recommendations to build participants’ financial confidence and support their personal goals.
• Participate in client review meetings, presentations for prospective clients, and growth initiatives aligned with Mariner’s retirement and wealth objectives.
• Deliver exceptional service execution, responsiveness, and follow-through while effectively managing multiple priorities in a fast-paced environment.

Director, Financial Wellness – Retirement Education

Client Services Representative

• Build and maintain client relationships aimed at client retention; manage new client implementation process, coordinate, and direct client activities with other team members and assist as necessary
• Maintain client paper files and electronic data files in a timely manner; compile quarterly asset values for billing, journals, transfers, invoicing, annuity fees, commission fees and collection consulting fees
• Responsible for the day-to-day administrative duties of the office, including but not limited to coordinating and scheduling appointments, marketing, accounts payables, receivables, supporting receptionist as needed
• Understand the client’s overall business needs and help identify value-added services that Mariner Wealth Advisors can provide
• Review activities within the job scope for sufficient controls to prevent errors, fraud and misstatements of financial results
• Attend and participate in learning opportunities through client service associate meetings and internal resources made available through compliance, practice management, etc.
• Perform other duties as assigned

Client Service Associate

• Deliver one-on-one virtual consultations and education sessions for retirement plan participants via phone and digital platforms
• Design and implement education initiatives to improve participant engagement, retirement preparedness, and plan utilization
• Lead webinars, virtual workshops, and campaigns focused on retirement readiness, investing, budgeting, and debt management
• Partner with internal teams and plan sponsors to develop strategies that increase participant engagement and improve outcomes
• Provide general financial guidance on retirement planning, investments, insurance, and other wellness topics with actionable next steps
• Identify participant needs and refer to Mariner’s advisory professionals when additional support is appropriate
• Support participant outreach, inbound education requests, and digital engagement in a high-volume environment
• Maintain accurate documentation, follow-up, and service standards throughout all client and participant interactions

Associate Advisor, Financial Wellness – Retirement Education

Risk

• Develop and execute Mariner's enterprise-wide data strategy using a future-back perspective aligned with the firm's long-term business and technology objectives.
• Define the enterprise data operating model, including governance, ownership, stewardship, integration, access, protection, and lifecycle management.
• Evaluate the current enterprise data landscape, identifying opportunities to improve data quality, governance, interoperability, scalability, and business value.
• Translate long-term strategy into a practical, phased roadmap with measurable milestones and business outcomes.
• Consult on the evaluation and onboarding of new platforms and vendors, establishing enterprise standards for data integration, ownership, governance, and interoperability before implementation.
• Establish enterprise standards for metadata, lineage, stewardship, classification, ownership, quality, access controls, and accountability.
• Define enterprise data domains, semantic standards, reusable data products, and common business definitions that improve consistency across the organization.
• Develop governance principles supporting both human and AI-enabled interactions with enterprise data.
• Ensure enterprise data is trusted, discoverable, auditable, and appropriately governed for operational, analytical, regulatory, and AI-enabled use cases.
• Establish measurable standards for data quality, completeness, consistency, timeliness, and fitness for purpose.
• Define enterprise standards for data integration, interoperability, orchestration, and information architecture across platforms and business functions.
• Guide buy-versus-build decisions for enterprise data platforms, governance capabilities, integration technologies, metadata management, and orchestration tools.
• Develop reference architectures that support AI readiness, operational scalability, enterprise analytics, and future-state intelligence capabilities.
• Ensure enterprise systems, workflows, and integrations support the consistent, secure, and governed movement of information across the organization.
• Define the enterprise data strategy required to support responsible AI adoption, automation, digital workers, and agentic workflows.
• Establish governance models for trusted AI-enabled data access, permissions, semantic understanding, lineage, explainability, and auditability.
• Partner with Innovation, Technology, Legal, Compliance, Information Security, and business leadership to ensure AI initiatives are built upon trusted, governed, and secure data foundations.
• Monitor emerging technologies and industry trends to ensure Mariner's enterprise data strategy remains future-ready.
• Partner closely with Legal, Compliance, Risk, Audit, and Information Security to ensure enterprise data practices meet applicable regulatory, privacy, cybersecurity, supervision, and records management requirements.
• Incorporate regulatory and governance considerations into enterprise data strategy from the outset rather than as downstream review activities.
• Establish policies governing data retention, privacy, access management, PII protection, auditability, and appropriate data usage across internal and external stakeholders.
• Build strong partnerships across Technology, Operations, Innovation, Business Intelligence, Legal, Compliance, Risk, Information Security, and business leadership.
• Recommend organizational structures, governance forums, stewardship models, operating rhythms, and decision-rights frameworks that strengthen enterprise accountability.
• Lead through influence, credibility, and collaboration in a highly matrixed environment.
• Mentor enterprise architects, technical leaders, and governance stakeholders while fostering a culture that treats data as a strategic enterprise asset.

SVP, Enterprise Data Strategy – Governance

Consultant

• Design and lead advisor coaching and training programs centered on storytelling, consultative conversations, and relationship-building.
• Facilitate engaging training using role play, simulations, and case studies to build advisor communication and presentation skills.
• Coach advisors individually and in groups to enhance client meeting impact, discovery conversations, and business development effectiveness.
• Develop scalable coaching tools utilizing AI technology for performance assessment and personalized feedback.
• Create training resources, playbooks, and conversation frameworks that promote consistent, effective storytelling across the firm.
• Deliver in-person and virtual training workshops for advisors at all experience levels.
• Help advisors clearly and persuasively communicate complex financial topics in client-friendly ways.
• Collaborate with leadership and stakeholders to identify advisor development needs and implement targeted training solutions.

Practice Management Consultant

Director

• Drive the development and implementation of sophisticated wealth strategies and advanced planning solutions
• Collaborate closely with advisors and executive leadership to enhance Mariner’s holistic wealth management platform
• Serve as the subject matter expert in advanced wealth planning
• Partner with advisors to design, implement, and monitor customized advanced planning strategies
• Develop and oversee scalable training and professional development programs focused on advanced planning
• Provide actionable recommendations and support for best practices

Director, Wealth Strategy – Advanced Planning

Growth Marketing

• Guide advisors through Mariner’s platform, connecting them with subject matter experts and tailored solutions that accelerate business growth and operational efficiency.
• Collaborate with advisors to design, implement, and measure progress on growth roadmaps, providing accountability to key milestones and measurable outcomes.
• Bridge advisory teams with the Advisor Coaching and Advisor Experience teams, ensuring advisors receive cohesive, high-impact support across all development channels.
• Serve as the primary point of contact within each advisory team, proactively identifying competitive threats, spotting new trends, and surfacing opportunities for expansion.
• Recommend, implement, and support the adoption of best practices and strategies that streamline operations, enhance client engagement, and unlock additional revenue potential.