CAREER OPPORTUNITIES

Job title: Platform Solutions Specialist

Reports to: Director of Platform Solutions

Type/status: Full time Exempt

Primary Duties:

• Financial Planning Support.
• Collaborate with financial advisors to gather client data, assess financial goals, and assist with the creation of meaningful financial plans customized for each client.
• Support advisors with preparation of financial plans, presentations, and other materials for client meetings and reviews.
• Ensure compliance with regulatory guidelines and industry best practices.
• Develop and maintain working knowledge of multiple planning tools.
• Support financial planning vendor transitions, to include capturing client data from one system and rationalizing it within the new system.
• Process Optimization.
• Identify opportunities to leverage technology tools (Black Diamond, etc.) and software to streamline processes and enhance operational efficiency.
• Assist in the evaluation and implementation of financial planning software, CRM systems, portfolio management platforms, and other technology solutions.
• Design and execute a consistent training program for advisors and team members on the effective use of platform tools.
• Stay up to date with industry trends and advancements in financial planning and other technologies to identify new opportunities for improvement.
• Create and consistently deliver to Director of Platform Solutions reporting of activities and positive impact on business results, etc.
• Client Relationship Management.
• Participate in client meetings and discussions to provide technical expertise and support.
• Assist in preparing and delivering presentations to clients, explaining complex financial concepts and strategies in a clear and concise manner.
• Respond to client inquiries, troubleshoot technology-related issues, and provide prompt and accurate resolutions.
• Build and maintain strong relationships with advisors by delivering exceptional service and demonstrating a deep understanding of their financial needs.
• Develop subject matter expertise on the multiple tools available on the overall platform.
• Assist the team with communications of new additions to the platform designed to increase awareness and adoption. Where appropriate, this could include advisory programs, insurance products, or alternative products.

Education and Experience:

• Experience in the field is desirable, although not required, as this is an entry-level financial planning position with career development possibilities. Candidates must be enrolled or have completed a financial planning educational program leading to certification (i.e., CFP® and/or CPA/PFS). For candidates without financial industry experience, other professional experience is preferred.
• B.A. or B.S. degree, preferably in Financial Planning, Finance, Accounting, or Economics.

Knowledge/Skills/Certifications:

• Prior investment industry experience preferred.
• Client focused.
• Sales oriented.
• Good organizational and project management skills.
• Strong time management skills.
• Ability to be strategic and creative.
• Strong analytical skills.
• Excellent written and verbal communication skills.
• Self-starter, productive, works well with a team and independently.
• Ability to identify, meet, and follow through with client needs and requirements with keen attention to detail.
• Excellent project management skills with ability to prioritize and track multiple tasks.
• Proficiency in Microsoft Office Suite.
• Knowledge of, or some experience with, the following would be considered a plus: eMoney, MoneyGuide Pro, Right Capital, Wealthcare GDX, Black Diamond, Salesforce, CAIS, Envestnet, Nitrogen Elite, and Zoom Meetings.

Licenses Required: 7, 63, 65, Life and Variable preferred. If not licensed, able to obtain within 6 months of employment.

Physical Requirements:

• Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

• Professional office environment.
• Located in the Dallas corporate office but open to conversations regarding remote work.

Job title: Staff Accountant

Reports to: Chief Financial Officer

Type/status: Full-Time Exempt

Primary Duties:

• Prepare and record journal entries; reconcile general ledger accounts
• Assist with monthly, quarterly, and annual close processes
• Prepare balance sheet and income statement reconciliations
• Support regulatory filings and reports (e.g., FINRA FOCUS Reports, Net Capital calculations, ADV support)
• Assist with revenue recognition, expense accruals, and prepaid expense tracking
• Reconcile cash, clearing accounts, and custodian statements
• Support accounts payable and regulatory filings
• Assist with audit, regulatory exams, and requests from external auditors and regulators
• Maintain accounting documentation, policies, and internal controls
• Participate in process improvements and automation initiatives

Supervision: No direct reports

Education and Experience:

• Bachelor’s degree in Accounting or Finance
• 1–3 years of accounting experience (public accounting or financial services preferred)
• Working knowledge of U.S. GAAP
• Strong Excel skills (pivot tables, lookups, reconciliations)
• High attention to detail and strong organizational skills
• Experience in broker dealer, RIA, investment management, or financial services environment (preferred)
• Familiarity with SEC and FINRA reporting requirements (preferred)
• Experience with general ledger systems (e.g., Sage) (preferred)

Knowledge/Skills/Certifications:

• Analytical and problem solving skills
• Ability to meet deadlines in a regulated environment
• Strong written and verbal communication skills
• Professional judgment and discretion with confidential information
• Ability to work independently and collaboratively

Physical Requirements:

• Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

• Professional office environment
• Must be located in the Dallas corporate office