<p><strong>Job Description: Financial Advisor</strong></p><p><strong>Summary:</strong></p><p>The primary responsibility of the Financial Advisor is to enhance the quality and timeliness of services provided to clients. This includes managing client relationships independently or with guidance from more experienced advisors. The role involves formulating and implementing financial advice while utilizing team members and strategic partners to develop recommendations.</p><p><br></p><p><strong>Essential Duties and Responsibilities:</strong></p><p>To successfully perform in this role, the Financial Advisor must execute the essential duties efficiently and accurately. Duties may evolve as needed by management. Key responsibilities include, but are not limited to:</p><p><strong>Trading and Monitoring Transactions:</strong></p><ul><li>Execute trades on a discretionary basis through institutional platforms.</li><li>Provide backup trading support as required.</li><li>Initiate money movements based on client requests and trade requirements.</li><li>Maintain clean trading compliance and ensure workflow documentation meets regulatory and compliance standards.</li><li>Execute trades and rebalancing in non-discretionary accounts, including variable annuities and education savings plans.</li></ul><p><strong>Client Service and Communications:</strong></p><ul><li>Conduct financial reviews with clients through virtual, phone, or in-person meetings.</li><li>Address client investment and market-related questions while staying aligned with internal investment philosophies and strategies.</li><li>Provide target allocations for externally held retirement plans such as 401(k) and 403(b) accounts.</li><li>Prepare performance reports for annual client review meetings.</li><li>Support and learn methods for creating client financial projections.</li><li>Monitor capital gains/losses and contribute to tax-efficient planning strategies.</li><li>Assist with year-end tax planning activities.</li><li>Stay current on advanced topics such as tax, retirement planning, insurance, and estate planning techniques.</li><li>Implement planning strategies discussed during client review meetings.</li></ul><p> <strong>Operational Support:</strong></p><ul><li>Suggest new ideas or process improvements to enhance team operations.</li><li>Learn business processes and compliance systems, providing backup support as necessary.</li><li>Update client information, including contact details and life changes, in CRM systems and platforms (e.g., Salesforce, eMoney).</li></ul><p><strong>Additional Responsibilities:</strong></p><ul><li>Adhere to company policies as outlined in the Employee Handbook.</li><li>Utilize PCs, the Internet, email, and Microsoft Office applications daily.</li><li>Maintain flexibility in working effectively from both the office location and remote environments.</li></ul><p>This role provides an opportunity to contribute to client success while growing knowledge in financial planning, taxation, and investment management. Flexibility, teamwork, and attention to detail are key to excelling in this position.</p>
<p>We are looking for a detail-oriented <strong>Compliance Coordinator </strong>to join our team on a long-term contract basis. The <strong>Compliance Coordinator </strong>role involves supporting healthcare compliance initiatives through administrative tasks and effective communication. <strong>The</strong> <strong>Compliance Coordinator is available remotely to candidates preferably in Southern California for any possible onsite meetings!</strong></p><p><br></p><p>Responsibilities:</p><p>· Entering new responses in the access portal </p><p>· Writing queries and requesting responses/medical records from providers/offices </p><p>· Reviewing responses using critical thinking skills to escalate responses to nurse for input as appropriate </p><p>· Submitting responses to health plans by deadline </p><p>· Managing dedicated email inbox and fax and responding to inquiries as appropriate </p><p>· Preparing cases for clinician review. </p><p>· Collating organizing and preparing data received to send out regularly scheduled notifications. </p><p>· Researching information to ensure completeness of data</p>
We are looking for a Compliance Analyst to support ethics and compliance initiatives within a dynamic manufacturing environment. This long-term contract position offers an excellent opportunity to contribute to critical compliance programs, collaborate cross-functionally, and gain exposure to various systems and processes. The role is based in St. Louis Park, Minnesota, and is hybrid, with three days onsite preferred.<br><br>Responsibilities:<br>• Enhance and maintain compliance programs focused on ethics, anti-bribery, and case management.<br>• Collaborate with internal audit teams to ensure proper compliance and financial controls are in place.<br>• Manage and validate data in compliance systems, ensuring accuracy and consistency across platforms.<br>• Conduct third-party screenings using tools like Assure to ensure business partners align with company values.<br>• Develop and present materials, including PowerPoint slides, to facilitate discussions with finance teams.<br>• Reconcile and validate data between finance systems and compliance teams, creating clear documentation and workflows.<br>• Assist with case management system tasks, including data validation and gap analysis for confidential records.<br>• Provide guidance to business sponsors on compliance processes and approvals.<br>• Work on program setup, testing, and support for legal entities and team members.
