Our Company
Our modern platform empowers wealth advisors and family offices to utilize alternative investments more efficiently with insurance structures to build ‘the portfolio of tomorrow,’ as part of generational planning and philanthropic activities. We are currently operating in stealth mode while we develop a high quality and integrated platform solution with our industry partners that fits easily with wealth and estate planning needs.
We are looking for a motivated, self-starter, results-driven highly skilled and solution-oriented Compliance Director who is passionate about tackling regulatory issues in a collaborative manner and building a strong culture of compliance, integrity and complete transparency across all clients and business engagements.
This is a highly visible, industry facing role with the opportunity to develop a deep network across carriers, brokers, registered investment advisors and regulators. You will be working in a fast-paced environment, directly with tenured business builders and executive leaders.
Location: Remote; New York City
Key Responsibilities / Duties:
- Take a leadership role in developing, implementing, maintaining and managing an all-inclusive compliance program, policies and procedures to set standards, and minimize exposure to risks;
- Serve as a subject matter expert and primary point of contact for all compliance related matters including agreements, regulatory filings, and business partners escalations in order to facilitate solutions to regulatory topics;
- Conduct periodic performance assessment and review of due diligence of business partners to ensure that regulatory requirements are fully complied and met in a timely manner.
- Stay current with federal and state laws and regulations; Keep all involved updated on the changes, implications on business, and accordingly update relevant policies and procedures;
- When required, assist with regulatory audits by FINRA, SEC and insurance and securities regulators;
- On proactive basis, coach and advise team members and business partners on compliance issues and best practices;
- Always take action using Integrity, Care and Excellence to achieve all-win outcomes.
Work Experience / Knowledge:
- Minimum 7-10+ years of professional working experience in compliance roles, preferably with SEC, RIAs and/or Fintechs.
- Deep knowledge of SEC rules and regulations and associated laws (1940 Investment Advisor Act in particular). Good understanding of FINRA rules and regulations is strong plus.
- Strong aptitude for understanding complex and changing security laws and regulations.
- Demonstrated ability to identify, synthesize and get insights of complex problems, find resolutions to those problems, and recommend corrections.
- Proactive approach in guiding and coaching team members and partners.
- Strong and proven ability to interact and build relationships with various level of leaders/management in the industry and business partners.
Education / Skills / Other Required Attributes:
- Graduate or Bachelor’s degree preferably in business, finance or related field;
- Must have current FINRA Series 6 and 63 or 7 and 66 Securities Registration.
- Good exposure and understanding of aspects involved in financial audit, and compliance and risk management.
- Excellent written/verbal communication, articulation, and presentation skills;
- Exceptional aptitude for persuasion, negotiations and networking.
Compensation: Competitive package, commensurate with experience and linked to sales results. In addition, the opportunity to participate in ESOP.
Contact information: Interested candidates should send resume and cover letter to [email protected]
Our Company
Our modern platform empowers wealth advisors and family offices to utilize alternative investments more efficiently with insurance structures to build ‘the portfolio of tomorrow,’ as part of generational planning and philanthropic activities. We are currently operating in stealth mode while we develop a high quality and integrated platform solution with our industry partners that fits easily with wealth and estate planning needs.
We are looking for a motivated, self-starter, results-driven highly skilled Client Director who will be instrumental in identifying and developing new opportunities to drive business growth by expanding our market reach. The ideal candidate will be the lead player in developing strategies and opportunities with prospect clients, and will also maintain regular contact with existing clients to ensure smooth execution.
This is a highly visible, market facing role with the opportunity to develop a deep network across family offices, registered investment advisors and sophisticated HNIs.
Location: Remote; New York City
Key Responsibilities / Duties:
- Develop plans for building/carrying forward the growth of existing and new clients and their assets;
- Identify, cultivate and develop opportunities with prospective clients, which include interactions to determine their wealth objectives, tax efficiency, investment approach, risk tolerance, or other information needed to develop a commercial strategy;
- In collaboration with other team members and business partners, develop key performance and reporting indicators for monitoring clients and assets growth for full visibility into the client acquiring process at every stage of development.
- Attend, and where required bring to the urgent attention of management/team members, any issues highlighted by existing and prospect clients in the work-processes and/or clients satisfaction level;
- Represent the company at industry’s events and conferences in order to enhance company’s image and expand network of business contacts;
- Always take action using Integrity, Care and Excellence to achieve all-win outcomes.
Work Experience / Knowledge:
- Minimum 5-7+years of professional working experience, preferably business development in Investment/Wealth Management or Financial Services or Management Consulting;
- Track record of success in rolling out new market initiatives and collaboration;
- Must have demonstrated ability to create sales/relationship opportunities with clients and prospects in relevant business markets.
- Must have a good understanding of personal wealth management and insurance products, and market dynamics.
- Demonstrated ability to identify, synthesize and get insights of complex problems, find resolutions to those problems, and recommend solutions.
- Proactive approach in guiding and coaching team members and partners.
- Strong and proven ability to interact and build relationships with various level of leaders/management in the industry and business partners.
Education / Skills / Other Required Attributes:
- MBA and bachelor’s degree in business, finance or related field;
- Desire to obtain FINRA Series 6 and 63 or 7 and 66 Securities Registration;
- Excellent written/verbal communication, articulation, and presentation skills;
- Exceptional aptitude for persuasion, negotiations and networking.;
- Impeccable customer service skills including time management, organized work, and ethics.
Compensation: Competitive package, commensurate with experience and linked to sales results. In addition, the opportunity to participate in ESOP.
Contact information: Interested candidates should send resume and cover letter to [email protected]
Our Company
Our modern platform empowers wealth advisors and family offices to utilize alternative investments more efficiently with insurance structures to build ‘the portfolio of tomorrow,’ as part of generational planning and philanthropic activities. We are currently operating in stealth mode while we develop a high quality and integrated platform solution with our industry partners that fits easily with wealth and estate planning needs.
We are looking for a motivated and solution-oriented Partnership Director who displays initiative in fostering, managing and maintaining strong relationships with business partners; and embraces a collaborative culture that places a high premium on teamwork, integrity and complete transparency.
This is a highly visible, external facing role with the opportunity to develop a network across the industry, including private banks, alternative investors, and family offices.
Location: Remote; New York City
Key Responsibilities / Duties:
- Serve as a key strategic facilitator/leader to ensure that all business partners support, and are in unison with company’s strategy;
- In collaboration with partners, develop performance standards, frequency and details of management reporting and dashboards to monitor partners performance and where required address and resolve issues.
- On proactive basis, promptly resolve any issue(s) among business partners, that include facilitating communications to ensure proper and fruitful collaboration;
- Be a change agent who can successfully leverage best practices and identify opportunities for increasing efficiency in key business processes by successfully balancing partner’s needs with business objectives;
- Manage business partners contract/agreement review and negotiation process, including service level updates when required;
- Represent the company at industry’s events and conferences in order to enhance company’s image and expand network of business contacts;
- Always take action using Integrity, Care and Excellence to achieve all-win outcomes.
Work Experience / Knowledge:
- Minimum 7-10+ years of professional working experience, preferably in Investment/Wealth Management, insurance or other Financial Services.
- Strong and proven ability to interact and build relationships with various level of leaders/management in the industry and business partners.
- Negotiation skills – proven ability to influence for mutually beneficial outcomes;
- Must have excellent sales skills and broad investment and insurance knowledge.
- Ability to synthesize information/data, gathers insight, and tailors it to suite variety of audience and interests.
Education / Skills / Other Required Attributes:
- MBA and/or bachelor’s degree in business, finance or related field.
- Excellent written/verbal communication, articulation, and presentation skills.
- Exceptional aptitude for persuasion, negotiations and networking.
- Impeccable relationship building skills.
Compensation: Competitive package, commensurate with experience and linked to sales results. In addition, the opportunity to participate in ESOP.
Contact information: Interested candidates should send resume and cover letter to [email protected]
Our Company
Our modern platform empowers wealth advisors and family offices to utilize alternative investments more efficiently with insurance structures to build ‘the portfolio of tomorrow,’ as part of generational planning and philanthropic activities. We are currently operating in stealth mode while we develop a high quality and integrated platform solution with our industry partners that fits easily with wealth and estate planning needs.
We are seeking a dynamic, innovative and creative Marketing Director who plays a key leadership and critical role in shaping the firm’s market presence within the context of the financial industry’s challenges and opportunities by developing and executing comprehensive marketing strategies to build franchise position, enhance brand visibility, and strengthen client and employee relationships.
This is a highly visible, external facing role with the opportunity to develop a deep network across industry forums, family offices and thought-leadership platforms.
Location: Remote; New York City
Key Responsibilities / Duties:
- Develop and implement a robust marketing strategy aligned with the overall business objectives of the company. Collaborate with leadership team to define marketing goals and metrics, ensuring alignment with business strategies.
- Oversee the development and maintenance of a strong and cohesive brand identity. Ensure consistent messaging and brand positioning across all marketing channels and communication materials.
- Develop, execute and lead campaigns to attract new clients and customers. Collaborate with the Client and Business Partners teams to ensure seamless lead-to-customer conversion processes.
- Drive digital marketing initiatives, including online advertising, social media, email marketing, and content marketing. Optimize digital channels for customer acquisition, engagement, and retention.
- Evaluate and recommend participation in industry conferences and events
- Develop and manage the marketing budget, ensuring cost-effectiveness and maximum return on investment. Regularly track and report performance metrics.
- Ensure all marketing activities adhere to regulatory requirements and industry standards. Collaborate with legal and compliance teams to manage risks.
- Always take action using Integrity, Care and Excellence to achieve all-win outcomes.
Work Experience / Knowledge:
- Minimum 5-7 +years of professional working experience in marketing industry out of which at least 3-5 years such as Marketing Manager or Director.
- Prior experience within the financial services industry is highly valued and preferred as knowledge of investment, insurance and other financial sectors is crucial for understanding the unique challenges and regulations of the industry.
- Experience in building and maintaining strong brand identities, ensuring consistency across all marketing materials and channels.
- Given the increasing importance of digital channels, experience in digital marketing, including social media, and content marketing, is crucial.
- Proven ability to collaborate with cross-functional teams within the firm and also business partners to achieve common objectives.
- A strong ability to use data and analytics to inform decisions, measure performance, and continuously optimize marketing budgets and strategies.
- Strong and proven ability to interact and build relationships with various level of leaders/management in the industry and business partners.
Education / Skills / Other Required Attributes:
- MBA and/or bachelor’s degree in marketing, business, finance or related field;
- Excellent written/verbal communication, articulation, and presentation skills;
- Exceptional aptitude for persuasion, negotiations and networking;
- Impeccable relationship building skills.
Compensation: Competitive package, commensurate with experience and linked to sales results. In addition, the opportunity to participate in ESOP.
Contact information: Interested candidates should send resume and cover letter to [email protected]
