ADVISORY SPECIALIST JOB DESCRIPTION

Advisory Specialists are not all the same job. In financial services, the title belongs specifically to professionals who hold or pursue the Certified Trust and Financial Advisor credential and operate under fiduciary duty — a legal obligation that shapes every client interaction. The Advisory Specialist owns a defined portfolio of high net worth accounts, serving clients navigating trust administration, wealth transition, and investment oversight within the regulatory framework of federal fiduciary law. Compliance with Consumer Financial Protection Bureau standards and ongoing engagement with attorneys and accountants are routine, not exceptional.

As the Advisory Specialist, you translate complex fiduciary and regulatory requirements into clear, actionable guidance for high net worth clients, managing account portfolios that require continuous evaluation of trust structures and compliance obligations. You work within a Wealth Management or Deal Advisory division, collaborating with legal, compliance, and senior leadership to ensure every client relationship meets both organizational and federal standards.

Career Impact: Professionals in this role build demonstrated expertise in fiduciary law and trust administration, a credential-backed specialization that commands respect across private banking, RIA firms, and investment management.

Business Impact: When client portfolios involve estate planning, wealth transition, and regulatory compliance simultaneously, the Advisory Specialist is the single point of accountability whose analysis prevents costly compliance failures and client attrition.

Growth Opportunity: Experience managing SEC examinations, FINRA obligations, and complex trust accounts opens direct advancement paths toward Senior Fiduciary Officer, Compliance Manager, or RIA Director roles.

• Manage an assigned portfolio of high net worth client accounts, ensuring fiduciary obligations and federal regulatory standards are continuously met.
• Lead advisory engagements covering trust administration, estate matters, investment management, and wealth transition for clients with complex financial structures.
• Review and analyze trust agreement documents, interpreting legal provisions to develop or expand client relationships requiring in-depth evaluation.
• Coordinate compliance obligations with internal legal, compliance, and management teams, escalating regulatory risks and issues to resolution.
• Design and maintain compliance program documentation, performing risk assessments in support of ongoing compliance testing and procedural initiatives.
• Support regulatory examinations, acting as primary point of contact for SEC or state insurance department inquiries and correspondence.
• Collaborate with accountants, attorneys, and external partners to deliver integrated advisory outcomes that serve both client and regulatory requirements.

• Bachelor's degree in Finance, Law, Business, or a related field, or equivalent work experience.
• 4 or more years of fiduciary advisory or compliance experience, with demonstrated engagement with regulators or legal counterparts.
• Certified Trust and Financial Advisor (CTFA) designation or FINRA Series 65 license, or active progress toward one.
• Extensive knowledge of trust law, federal fiduciary regulations, and applicable SEC or FINRA rules governing Registered Investment Advisers.
• Ability to review and interpret trust agreements, legal documents, and regulatory correspondence accurately.
• Strong relationship management skills with the ability to develop and sustain effective working relationships across client and stakeholder groups.
• Sound judgment in problem solving and decision making across multi-variable compliance and client scenarios.

• Advanced knowledge of clearing firm dynamics and the regulatory interplay between broker-dealers and registered investment advisers.
• Experience managing or supporting SEC examinations, including documentation preparation and examiner correspondence.
• Familiarity with risk purchasing group filings and state insurance department compliance requirements relevant to multi-state operations.
• Project management capability with demonstrated ability to coordinate cross-functional teams toward compliance or client-delivery deadlines.

• Client portfolio retention rate, reflecting consistency of fiduciary relationship management across assigned accounts.
• Regulatory examination outcomes, measured by the number of deficiencies cited per SEC or state review cycle.
• Compliance documentation currency, tracked as the percentage of program documents reviewed and updated within the required cycle.
• Risk assessment completion rate, measuring timely execution of scheduled compliance testing and procedural reviews.
• Escalation resolution time, tracking how quickly identified compliance risks are closed with leadership alignment.
• Typical tools: CRM platforms (commonly Salesforce or similar); compliance management systems (commonly Archer or equivalent); document review tools (commonly iManage or similar).

• Base Salary Range: $85,000 to $130,000 depending on seniority and firm size.
• Bonus: Annual performance bonus, typically 10 to 20 percent of base.
• Equity: Uncommon at individual contributor level; available at senior or director level.
• Health Benefits: Medical, dental, and vision; employer contribution standard.
• PTO: 15 to 20 days annually plus federal holidays.
• Common Perks: CTFA or Series 65 exam reimbursement, continuing education stipend, travel allowance.

Figures are estimates based on general US market benchmarks and may be outdated. Adjust based on location, company size, and seniority level.

Background checks, including credit history review where applicable to fiduciary roles, are a condition of employment. All qualified applicants will receive consideration without regard to race, color, religion, sex, national origin, age, disability, veteran status, or any other characteristic protected under applicable federal, state, or local law. Reasonable accommodations are available to individuals with disabilities throughout the hiring process. Candidates must be authorized to work in the United States.

The Senior Fiduciary Advisory Specialist owns a book of the most complex Wealth Management Trust accounts, managing and growing client relationships through trust and estate matters, investment management, and financial planning. Working within Wells Fargo's Wealth and Investment Management division alongside peers, colleagues, and attorneys, this role delivers compliance-sound fiduciary outcomes for high net worth clients.

Key Responsibilities

• Manage, retain, and grow an assigned book of the most complex accounts in Wealth Management Trust Services utilizing available products, processes, and tools.
• Lead or participate in trust and estate matters, investment management, wealth transition, and financial planning to serve high net worth clients with moderately complex needs.
• Review and analyze moderately complex trust accounts to develop or expand relationships requiring in-depth evaluation of variable factors.
• Receive direction from leaders and exercise independent judgment while developing knowledge of function, policies, procedures, and compliance requirements.
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
• Interact with internal and external customers, including Accountants and Attorneys.
• Assist customers with dwelling secured product inquiries without taking an application or offering or negotiating terms, and refer interested customers to a SAFE team member.
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Required Qualifications

• 4+ years of Fiduciary Advisory experience, or equivalent through work experience, training, military experience, or education.
• Certified Trust and Financial Advisor (CTFA) required.
• Must meet Consumer Financial Protection Bureau Loan Originator qualification requirements including financial responsibility, character, general financial fitness, and criminal background standards.
• Extensive knowledge of trust, fiduciary law, and federal regulations.
• Ability to review trust agreement documents, interpret legal documents, and ensure bank compliance.
• Relationship management experience with the ability to develop and maintain strong, effective relationships.
• Outstanding problem solving, decision making, and interpersonal communication skills, both verbal and written.
• Ability to travel up to 10% of the time.

Embedded within KPMG's Deal Advisory practice, the Lead Specialist in Deal Advisory and Strategy Analytics delivers deep business analytics across multiple service lines, integrating findings into client-facing product deliverables using tools including Alteryx, Tableau, R, and Python. Working closely with offshore research teams, diligence providers, and staff in the field, this role advances the quality and efficiency of deal analysis that supports client decision-making at the highest levels.

Core Functions

• Serve as a strategic thought leader using data and advanced analytics tools including Alteryx, Tableau, Excel, R, and Python.
• Work with multiple Deal Advisory service lines to provide deep business analytics and integrate findings into product deliverables.
• Research and critically dissect business strategy for given projects and develop insightful analysis.
• Manage staff in the field to provide real-time feedback and guidance to clients and diligence providers to ensure timely and efficient product delivery.
• Author, prepare, and deliver marketing and training materials for all professional levels.
• Develop operational protocol for offshore teams and work closely with the research team to support analysis.

Qualifications & Experience

• Bachelor's degree from an accredited college or university required; Master's degree strongly preferred in Statistics, Data Science, Mathematics, or Economics.
• Minimum five years of experience with sophisticated analytics tools and programming languages including R, Python, Alteryx, and SQL, and visualization platforms such as Tableau, Qlikview, PowerBI, or JavaScript.
• Experience in project management including planning, organizing, coordinating, and managing staff, clients, and partners toward successful project completion.
• Excellent analytical skills using financial modeling, research, and accounting analysis, with proficiency in financial research tools.
• Strong communication skills with the ability to explain technical concepts to business stakeholders including C-level executives and business concepts to technical resources.
• Willingness and ability to travel; must be currently authorized to work in the United States without visa sponsorship.

Reporting to advisory leadership, the Senior Specialist shapes client engagement by diagnosing inquiries, packaging Gartner research into actionable written and verbal guidance, and identifying opportunities to serve clients beyond their original requests. Partnering with internal research teams and a broad client segment, this role strengthens the connection between Gartner's insights and measurable improvements in client decision-making.

Primary Duties

• Diagnose customer inquiries through effective scoping questions and active listening.
• Deliver Gartner insight to customers through advice-oriented written and verbal communications.
• Package insight through summary writing and project scoping to respond quickly to assigned customer research requests and identify opportunities to serve clients beyond their original requests.
• Analyze client requests to spot trends in demand and improve client responses and future research planning.
• Accept personal accountability, take ownership, and persevere while embracing feedback with a mindset of continuous improvement.

Skills & Qualifications

• Bachelor's degree or equivalent experience.
• 3–5 years of relevant business experience in Technology Innovation.
• Strong business acumen with understanding of organizational risks, opportunities, and performance drivers.
• Intellectual agility with the ability to process information quickly, diagnose issues, and make actionable recommendations.
• Ability to collaborate productively, build relationships, and move work forward with internal partners and clients.
• Strong communication skills with the ability to engage clearly on complex concepts with poise, and to persuade and influence others.
• Ability to conduct occasional travel, regionally and globally.

Sitting at the intersection of regulatory compliance and risk management, the Compliance & Advisory Specialist monitors state insurance licensing, coordinates agent appointments, and leads E&O mitigation strategy across the department. Operating across state insurance departments, carriers, corporate legal, and senior leadership, this role enables the organization to maintain statutory compliance and proactively manage regulatory exposure.

Duties

• Monitor and coordinate state regulatory compliance aspects of insurance licensing within the department.
• Coordinate licensing appointments for agents and company with carriers and manage all required state filings for risk purchasing groups.
• Develop and maintain the department continuing education program to comply with various state requirements for agent licensure.
• Examine correspondence and inquiries from state and federal agencies and consult on appropriate written or oral responses, identifying need for Corporate Legal and Compliance involvement.
• Review, approve, or develop mitigation strategy plans for E&O and potential E&O cases, and develop risk mitigation recommendations for leadership based on trending identified.
• Liaise with state insurance departments and insurance companies to ensure proper statutory compliance with applicable state law.
• Prepare monthly reports for management review and control licensing expenses within budget.
• Review and consult with leadership on risk identification in Client Service Agreements, Carrier Agreements, and other agreements.

Experience & Qualifications

• Bachelor's degree or equivalent experience in a related field with a focus on risk management and/or research.
• Proven negotiation, project management, and time management skills with the ability to meet deadlines in a fast-paced environment.
• Experience with statistical and research applications.
• Strong math, problem solving, and analytical skills with the ability to handle multiple projects simultaneously and apply logic and creativity in decision making.
• Strong computer skills including proficiency in Microsoft Office with ability to navigate multiple systems without assistance.
• Excellent written and verbal communication skills, including the ability to communicate with remote locations, external partners, and various insurance departments.
• Demonstrated professional and ethical business practices with a commitment to personal and professional development, and strong active listening, planning, prioritizing, and organizational skills.

A key member of Mercury's compliance function, the RIA Advisory Specialist builds and maintains compliance program documentation for the Registered Investment Adviser while serving as the primary point of contact for SEC examinations. Collaborating across Product teams, operational partners, and regulators, this role enables the organization to manage risk proactively and sustain a high standard of regulatory integrity.

Functions

• Design, document, and iteratively update compliance program documentation for a Registered Investment Adviser.
• Support regulatory compliance obligations to partners within the Registered Investment Adviser and act as primary point of contact for SEC examinations.
• Communicate and escalate risks and issues cross-functionally and lead them to resolution.
• Support Product teams with compliance guidance and perform risk assessments in support of compliance program management functions.
• Support ongoing compliance testing and procedural initiatives and investigate tools to improve efficiency.

Professional Experience

• 5+ years of experience as a compliance professional at a Registered Investment Adviser, including experience engaging with regulators and a history of Compliance and Operational Risk management.
• FINRA Series 65 license required.
• Advanced knowledge of applicable FINRA and SEC rules and regulations as they relate to Registered Investment Advisers, including a working understanding of clearing firm dynamics.
• High degree of comfort with uncertainty and abrupt reprioritization, with a strong product sense and customer focus.
• Excellent written and verbal communication skills with curiosity, innovation mindset, and obsession with quality.

Consistent HR service delivery depends on the People Care Advisory Specialist, who serves as the first point of contact for employees and Line Managers across policy, process, and HR application queries in a multinational shared services environment. Based within the HR operations team and supported by CRM and service enabling technologies, this role ensures each customer interaction meets quality standards while driving self-service adoption.

Accountabilities

• Be the first point of contact for employees and Line Managers, answering queries on policy and process and redirecting non-HR queries as required.
• Promote the use of customer self-service by coaching customers to utilize HR applications.
• Manage the balance between quality of response, customer experience, and target response time.
• Execute transactions in HR applications with good quality.
• Utilize service enabling technologies and CRM tools by creating, recording, and managing customer requests.
• Follow defined problem and incident management processes and escalate where necessary.
• Maintain relevant support documentation.

Background & Experience

• 1–2 years of experience in a multinational environment, preferably in shared service centers.
• Strong systems and computer proficiency.
• CRM, Live Chat, and Chatbot usage experience is an advantage.
• Excellent customer service skills.
• Fluency in English and German.