Accountable for Tier 1 supervision within designated branches, providing leadership, expertise, guidance, support, and training to branch staff regarding sales supervision, ensuring adherence to industry regulations and business ethics.
Compensation
The expected annualized base salary range for this role is $102,700 to $112,000. In addition to base pay, compensation for this role includes participation in an annual discretionary incentive or bonus program.
Responsibilities
Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs)
Oversee trading and account supervision for Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, and FATCA Remediation Reports
Reviewing and approval of new accounts and account updates
Manage overall governance and compliance framework for the branch, supporting operational risk items
Create a culture of operational excellence, ensure adherence to management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements
The Customer Service Coordinator III independently manages customer inquiries, service administration, and issue follow-up within assigned scope, coordinating across teams to resolve non-routine service issues and improve customer experience.
Responsibilities
Manage complex customer inquiries and service issues across communication channels, ensuring timely investigation, updates, and resolution.
Administer customer contracts, account documentation, service records, and reporting requirements with strong attention to accuracy and control.
Work closely with branch operations, finance, and other partners to resolve issues, implement corrective actions, and prevent recurrence.
Analyze trends in complaints, service failures, or documentation gaps and recommend process improvements.
Act as a resource for less experienced team members and support escalations, reporting, and service reviews as needed.
Requirements
High school diploma or equivalent
Associate degree or bachelor’s degree or equivalent experience preferred
Support portfolio trading and client service operations within a fiduciary RIA environment
Responsibilities
Place authorized trades to raise cash for client distributions and invest new deposits and transfers
Rebalance client accounts to the firm's five model portfolios as models change or accounts drift
Confirm trade instructions and authorization with the lead advisor, and raise questions or exceptions before proceeding
Review trades for accuracy before and after execution; promptly flag errors or discrepancies to the lead advisor and work with the custodian to resolve them as directed
Monitor cash levels, pending deposits, and upcoming distributions, and flag cash needs or uninvested funds for the lead advisor's review
Requirements
Nice to have: Series 65 license
Nice to have: Investment Adviser Representative registration
The IT Support Specialist is responsible for the day-to-day administration, maintenance, troubleshooting, deployment, and support of K2’s information technology environment.
Compensation
we're committed to offering competitive compensation, meaningful benefits, and additional earning opportunities for eligible roles and projects.
Responsibilities
Provide timely, professional technical support to employees, field operations, and jobsites
Troubleshoot and resolve routine to moderately complex hardware, software, endpoint, network, account, authentication, connectivity, and application issues
Document service requests, incidents, troubleshooting activities, and resolutions
Deploy, configure, maintain, troubleshoot, and replace computers, mobile devices, peripherals, network equipment, and other assigned technology
Administer assigned user accounts, groups, permissions, devices, applications, and systems
Responsible for delivering exceptional customer service by implementing, maintaining, troubleshooting, and optimizing workstation and server hardware, software, network equipment, and connectivity.
Responsibilities
Participate in white-glove calls, especially during high-urgency or sensitive technical escalations, delivering calm, expert communication and resolution
Deploy technical solutions to solve recurring issues, improve system performance, or implement new services for clients
Analyze trends in ticket data or client feedback to identify areas for technical improvement and proactively address potential issues
Troubleshoot network equipment such as switches, firewalls, and wireless access points
Remediate compromised accounts via anti-virus/malware software
Provide technical support and troubleshooting for client workstation and server hardware, software, and network equipment, ensuring service level agreements are met.
Responsibilities
Participate in white-glove calls for high-urgency escalations
Deploy technical solutions to resolve recurring issues
Analyze ticket data to identify improvement areas
Troubleshoot network equipment such as switches, firewalls, and wireless access points
Remediate compromised accounts via anti-virus/malware software
The Customer Service Coordinator III independently manages customer inquiries, service administration, and issue follow-up within assigned scope, coordinating across teams to resolve non-routine service issues and improve customer experience.
Responsibilities
Manage complex customer inquiries and service issues across communication channels, ensuring timely investigation, updates, and resolution.
Administer customer contracts, account documentation, service records, and reporting requirements with strong attention to accuracy and control.
Work closely with branch operations, finance, and other partners to resolve issues, implement corrective actions, and prevent recurrence.
Analyze trends in complaints, service failures, or documentation gaps and recommend process improvements.
Act as a resource for less experienced team members and support escalations, reporting, and service reviews as needed.
Support the Investment and Treasury team with trade support, cash and liquidity movements, reconciliations, account maintenance, and operational controls in a global environment.
Compensation
At Sompo, we recognize that the talent, skills, and commitment of our employees drive our success. This is why we offer competitive, high-quality compensation and benefit programs to eligible employees. Our compensation program is built on a foundation that promotes a pay-for-performance culture, resulting in higher incentive awards, on average, when the Company does well and lower incentive awards when the Company underperforms. The total compensation opportunity for all regular, full-time employees is a combination of base salary and incentives that gets adjusted upfront based on overall Company performance with final awards based on individual performance.
Responsibilities
Support and oversee account administration activities, including onboarding of new investment portfolios, bank account openings, and ongoing account maintenance and updates.
Oversee daily and intraday cash movements to support operating requirements, investment funding needs, and broader liquidity management activities.
Coordinate securities transfers and margin-related activity, including the timely processing of margin calls.
Oversee capital calls, ensuring appropriate recording, tracking and funding.
Provide post-execution trade support for fixed income transactions, from confirmation through settlement, across U.K., European and other global markets.
Requirements
Bachelor’s degree in Finance, Accounting, or related business discipline
Nice to have: fixed income products across multiple markets and currencies
The Customer Care Manager provides leadership and direction for a multi-disciplinary team that manages a large portfolio of smaller and diverse retailers, focusing on a repeatable and process-oriented go to market motion.
Responsibilities
Work cross functionality to find efficient and effective ways of communicating to our retailers and educating them on our products and solutions.
Process existing customer orders from simple to complex to support Sales in pursuing strategic, high value opportunities.
Serve as the primary escalation point for complex Customer Care issues.
Coach and train team on how to overcome customer objections related to service, product, and support.
Act as a liaison between Customer Care and Support, Hardware Development, and Marketing to advocate for customer needs.
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