Wealth Enhancement Group

• Prepare and review proforma and finalized tax returns under the guidance of experienced tax professionals, for client types including individuals, trusts, estates, partnerships, and S & C corporations
• Assist in preparing amended tax returns
• Support the review and response process for tax notices
• Contribute to the development of tax projections
• Ensure accurate and timely filing of tax returns
• Assist clients with estimated tax payments, IRS correspondence, and audit support as needed
• Serve as the in-house tax resource for advisors and investment professionals
• Participate in client meetings to explain tax implications of investment and planning decisions
• Stay current on tax law changes and assess their impact on client strategies
• Contribute to white papers, newsletters, and client education materials on tax topics

Tax Consultant

General

• Initiate the Advisor Opportunity Sales Pipeline
• Produce sales results by developing and qualifying leads
• Screen prospective clients and set appointments for financial advisors
• Create a high volume of outbound dials and email activity
• Communicate Company Value Proposition
• Partner with Marketing to communicate company brand and messaging
• Understands current marketing channels and event campaigns
• Enthusiastically communicates the company’s service offering (planning, investment, tax, trust services, etc.) and purpose, mission, and values
• Utilize Salesforce Customer Relationship Management System
• Use Salesforce high velocity sales applications to prioritize work queues
• Accurately and efficiently record data entry of interactions with prospects
• Input new client Opportunities for advisors, ensuring proper data and reporting
• Utilize advisor rotation software to ensure accurate prospect assignment
• Build and Maintain Financial Industry Knowledge
• Comply with the securities industry rules and regulations
• Maintain awareness of current market trends and education
• Expand financial industry knowledge and experience

Client Acquisition Specialist

Program Manager

• Manage complex, high-volume calendars aligned to strategic priorities.
• Orchestrate leadership cadence (staff meetings, 1:1s, product reviews, offsites, board prep).
• Prepare decision-ready materials (agendas, pre-reads, presentations) and track follow-ups.
• Draft and edit executive communications and internal messaging.
• Coordinate travel, expenses, and day-to-day executive operations with precision.
• Coordinate cross-functional initiatives across Product, Wealth Solutions, and Operations.
• Track milestones, risks, and dependencies; proactively resolve issues.
• Maintain visibility into key priorities through dashboards and reporting.
• Provide perspective on continuous process improvements to increase efficiency and accountability.
• Partner with Product, Advisor Services, Finance, Compliance, IT, and Operations.
• Align stakeholders on priorities, deliverables, and timelines.
• Support onboarding coordination and internal communications across CCS.
• Assist in execution of firm-wide and CCS-specific initiatives.
• Lead logistics for leadership meetings, offsites, and external engagements.
• Ensure high-quality hybrid meeting execution (technology, materials, coordination).
• Support advisor/client events and leadership forums.
• Coordinate board materials and meeting preparation as needed.
• Oversee administrative workflows, vendor coordination, and executive operations.
• Introduce scalable processes, tools, and automation (reporting, communications, onboarding).
• Maintain strong organization, documentation, and follow-through.
• Improve visibility, efficiency, and consistency across CCS processes.
• Coordinate administrative support resources and establish execution standards.
• Promote responsiveness, professionalism, and service excellence.
• Foster a culture of accountability, detail orientation, and continuous improvement.

Administrative Program Manager

Operations

• Partner with UHNW Relationship Managers, Financial Advisors, product teams, and operations partners to support bespoke UHNW client needs
• Serve as the primary operational and performance reporting lead for complex UHNW client relationships, including multi-entity households, trusts, partnerships, foundations, closely held assets, alternative investments, and personal accounts
• Deliver high-touch internal support for time-sensitive, client-impacting requests
• Perform detailed analysis of investment performance data
• Lead the design, implementation, and ongoing refinement of scalable UHNW performance reporting frameworks
• Create and maintain highly customized reports, including consolidated performance, entity-level reporting, net worth summaries, and asset allocation views
• Build and enhance reporting templates tailored to UHNW clients and evolving client needs
• Design, test, and refine reporting structures within Orion, including workflows for handling complex, multi-entity, and alternative investment data
• Identify system limitations and develop creative, manual, or interim solutions to deliver accurate and timely reporting
• Troubleshoot performance discrepancies and collaborate with internal teams to resolve issues
• Educate advisors on performance calculations, benchmarks, and reporting methodologies
• Oversee setup and maintenance of alternative investments and manually maintained accounts within Orion and related systems
• Convert valuation and transaction data into portfolio accounting system templates
• Support development of repeatable processes for incorporating alternative and illiquid investments into reporting outputs
• Play a central role in building and evolving the UHNW operations and reporting function, including defining best practices, workflows, and scalable processes

UHNW Operations Consultant

Financial Planning and Analysis

• Support the Financial Advisor with the creation of customized financial plans
• Organize client’s financial documentation and information as necessary
• Provide an accurate summary of clients’ personal information, current financial position, and asset allocation
• Review and summarize insurance details
• Review and summarize estate plan details
• Review and summarize tax returns details
• Create financial planning reports/analyses utilizing MoneyGuide Pro, eMoney, Morningstar and other planning tools
• Communicate directly with the Advisor and/or client to obtain additional information and ask questions regarding the financial plan
• Identify areas of opportunity and coordinate specific recommendations with the Financial Advisor and Advanced Planning peers.
• Complete Financial Plan for delivery to client
• Record notes and pertinent details in Salesforce regarding client communications, inquiries, and actions related to the planning request as necessary
• Participate in Financial Plan presentations and reviews as necessary to present planning concepts and analyses to the client
• Provide technical planning expertise and support
• Participate in the research and response of general technical planning inquiries from Advisors and other team members
• Provide subject matter expertise (SME) & support
• Proactively share expertise and knowledge via various forums
• Support the Team with the creation and/or maintenance of Advisor and Client resources and collaterals
• Identify resource requirements and details
• Research and identify necessary data and incorporate as necessary
• Format in clean, professional manner for review and approval by applicable parties
• Support team and company initiatives and participate in WEGs “all sharing” collaborative culture.
• Participate in the planning and implementation of corporate/team initiatives
• Attend and participate in Micro-Monday sessions and other company meetings
• Provide timely responses to questions
• Contribute positively to problem solving
• Provide Training support to peers and new team members

Senior Financial Planner

Analyst

• Lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines
• Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes
• Monitor, report, and enforce internal controls to ensure compliance
• Participate in training and presentations to new acquisition teams related to the Supervision team and Compliance policies
• Review new business and trade alerts on a daily basis to ensure completeness and compliance with firm's policies and provide principal approval (or resolve deficiencies) where appropriate
• Conduct thorough, timely, and effective reviews of transactional business and activities
• Build and maintain positive working relationships with advisors, grounded in trust and respect
• Monitor and follow up on outstanding tasks on a timely basis
• Escalate issues to Supervision Manager as necessary
• Ensure Salesforce business review queue and trade alert queues are current
• Monitor and follow up on Salesforce QC reports to identify business that was not submitted properly
• Collaborate with other members of the Supervision team regarding trends, case studies, regulatory/product changes, or escalations
• Attend weekly team meetings
• Attend monthly Compliance department meetings

Supervision Analyst

Director

• Directly manage a team of Regional Vice Presidents (RVPs) responsible for new client acquisition.
• Oversee day-to-day team operations, ensuring performance accountability.
• Partner with the VP, New Client Development on evaluations and escalation matters.
• Establish a consistent cadence of coaching, feedback, and performance tracking.
• Deliver hands-on coaching to enhance individual sales effectiveness.
• Reinforce adherence to defined sales processes and best practices.
• Identify performance gaps and implement targeted development plans.
• Strengthen overall team capabilities through ongoing skill development.
• Execute onboarding and training for new RVPs.
• Refine onboarding and ramp processes through continuous feedback.
• Support new hires in efficiently reaching productivity benchmarks.
• Lead weekly team meetings focusing on performance, accountability, and best practices.
• Conduct weekly 1:1 pipeline reviews with each RVP.
• Shadow client or prospect meetings to provide direct coaching and feedback.
• Maintain visibility into pipeline health and sales activity.
• Track individual and team performance against defined metrics.
• Provide regular performance updates and insights to firm leadership.
• Drive accountability through consistent follow-up and coaching.

Director, New Client Development

Communications

• Develop and execute internal communication strategies tailored to advisor needs.
• Align messaging with corporate objectives and advisor engagement goals.
• Collaborate with leadership to prioritize and schedule communications.
• Serve as the operational owner of the advisor communications calendar, ensuring communications are coordinated and executed effectively across departments.
• Own the execution of recurring advisor communications, including weekly newsletters, leadership updates, meeting communications, and other advisor-facing messaging.
• Coordinate and execute weekly advisor webinar presentations, including agenda development, speaker preparation, content review, logistics, and follow-up communications.
• Manage communication timelines and deadlines to ensure initiatives are delivered accurately and on schedule.
• Drive communications projects from concept through completion, balancing multiple priorities and stakeholders.
• Anticipate communication needs and proactively develop materials supporting advisor teams during periods of change, growth, or critical initiatives.
• Create, edit, manage, and distribute high-quality content, including newsletters, announcements, FAQs, talking points, and presentations.
• Translate complex financial or operational updates into clear, advisor-friendly language.
• Maintain a consistent tone and voice across all advisor-facing materials.
• Serve as the primary point of contact between corporate departments (such as Marketing, Compliance, Product, and Operations) and advisor teams.
• Facilitate the flow of information and determine the best cadence, channel, and message to ensure advisors are informed of key initiatives, changes, and opportunities.
• Gather feedback from advisors and relay insights to corporate stakeholders.
• Maintain and enhance a systematic communication approval process.
• Evaluate and enhance communication channels (e.g., website, email platforms, CRM) and innovative technology solutions.
• Leverage AI tools to increase content speed, ensure consistency, surface new ideas, and streamline recurring communication processes.
• Implement best practices for message delivery, frequency, and format.
• Monitor communication effectiveness and recommend improvements based on data and feedback.
• Support advisor onboarding and ongoing education through communication initiatives.
• Coordinate with training and development teams to ensure alignment of messaging.
• Promote advisor participation in firm-wide initiatives, events, and programs.
• All other duties as assigned.