SUMMARY

Allworth Financial, the 4^th fastest growing RIA in America, is seeking an experienced Financial Advisor with proven experience closing new business to join our rapidly expanding team. 

The Financial Advisor, New Business position works closely with qualified prospects provided by our inside sales team, engaging with these prospects to understand their needs, present our value proposition, and outline a comprehensive plan to achieve their financial objectives. There is no cold calling.  Once they have completed their part of the process, the client is warm transferred to a Financial Advisor in their local market. 

The ideal candidate is a natural relationship builder with a proven track record of success building trust and closing new business. Excellent analytical and problem-solving skills are necessary to facilitate optimal outcomes for clients. In addition, you will develop and maintain business relationships with Allworth’s financial advisor professionals so that as a team, you will provide excellent client service.

This is a full-time, exempt position that will require a combination of remote and in person work. 

RESPONSIBILITIES

• Review prospect’s detailed information with our sales team and determine suitability for both the firm and the prospect
• Prepare an agenda for phone/virtual meeting with the prospective client.  The focus of this first meeting is to gather information and conduct a more extensive discovery overview
• Engage with and identify prospective client needs.  Establish formal advisory relationships with future clients who are deemed to be a good fit with the Allworth philosophy. 
• Learn and understand local Allworth advisors’ capabilities, areas of expertise, and growth goals to partner with them for the right prospective clients
• Inform and help create all prospective client deliverables including financial planning, investments, estate, and tax advice to achieve optimal outcomes
• Present proposed solutions to prospective clients and guide the overall sales cycle alongside the assigned Allworth advisor in a timely fashion and to ultimately achieve new business success
• Contribute to a positive work environment and culture and consistently demonstrate Allworth’s guiding principles
• Work closely with support teams to establish relationships and secure accounts with new clients.
• Update client records by dictating notes and follow-up activities in a highly customized CRM system that all team members rely on as a single source of client info.
• Become a subject matter expert on Allworth’s integrated services.

QUALIFICATIONS

• Professional designation of Certified Financial Planner (CFP®) or Chartered Financial Consultant (ChFC®) is preferred.
• Must be or willing to become Series 7 and 63/65, and Life insurance licensed
• Minimum 5 years of client-facing wealth management or financial planning experience is required.
• Three plus years of proven success closing new business
• BA/BS or master’s degree preferred.
• Must possess professional enthusiasm, strong communication, presentation, listening, and analytical skills.
• Comfort with technology is required; experience with specific tools is a plus:
• MoneyGuidePro, Salesforce, Tamarak, Zoom or similar.
• Self-starter with the ability to work independently.

This position pays a base plus variable compensation.  Base is $75K-125K with a total target compensation of $150k-300K based on performance.  Additionally we offer a full benefit package, which includes medical, dental, vision, 401k with match, PTO and holiday pay.   

Our Service Team consistently strives for service excellence. Sr. Service Associates work with our Service team and provide support to our Financial Advisors. Sr. Service Associates play a key role in providing exceptional service to clients of our financial advisory team. This role supports both clients and advisors with a focus on addressing inquiries, managing client accounts, and ensuring smooth operations. The individual will handle day-to-day client requests, manage paperwork, and assist with account transactions, working closely with senior team members to maintain a high standard of service.

This is a full-time, non-exempt position based in our Roseville office and requires five days per week on-site. This position has an expected base salary ranging from $70k-$78k, with the potential for an annual bonus based on the employees' performance and the companies.

DUTIES AND RESPONSIBILITIES

• Serve as a point of contact for clients, responding to calls and emails, addressing their needs and inquiries in a timely manner
• Coordinate and manage client appointments, ensuring all logistics and documentation are prepared
• Process client requests, including account transactions, and paperwork in compliance with firm procedures
• Support the onboarding process for new clients, ensuring a smooth and positive first experience
• Work with custodians and internal teams to resolve any issues related to account maintenance, transfers, or service requests
• Provide notary services for client transactions as needed
• Assist in maintaining accurate client records and ensure all documentation is up to date
• Work with financial advisors to understand client preferences and goals and help relay that information accurately

QUALIFICATIONS

• 5-8 years of experience in a client-facing administrative role within the financial services industry
• BS/BA degree preferred – GED required
• Strong communication skills with the ability to manage client relationships
• Experience with CRM systems
• Knowledge of regulatory requirements and industry best practices is a plus
• Detail-oriented with a strong focus on accuracy
• Ability to multitask and prioritize in a fast-paced environment
• Proficiency with Microsoft Office Suite

PHYSICAL REQUIREMENTS

• Works in an office environment
• Requires extended periods of sitting or standing at a desk, talking on the phone, and typing
• Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer
• Occasionally move about inside the office to access file cabinets, office equipment, etc.
• May carry or lift weight up to 10 lbs. in very limited occurrences

SUMMARY

The Compliance Specialist position is responsible for assisting with the administration of the compliance program for Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer.

 DUTIES AND RESPONSIBILITIES

• Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Engages in proactive surveillance activities to detect and resolve potential compliance issues.
• Assist with the implementation and maintenance of the firm’s anti-money laundering program.
• Receives and reviews requests for marketing and advertising review and approval
• Assists with inquiries from internal business partners regarding Compliance related issues.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of issues.
• Assists in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues.
• Assists in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates stay current.
• Prepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PX 

QUALIFICATIONS

• Bachelor’s degree (B.A.) in a related discipline
• Three (3-5) years of experience working with investment advisor and broker/dealer compliance issues, including review and oversight of independent investment advisors and registered representatives.
• Strong working knowledge of FINRA, SEC and state regulations including Investment Adviser’s Act of 1940.
• Securities Licenses: Series 7, 24, 63 and 65 or 66 are required.
• Experience reviewing and approving complex marketing materials
• Experience with industry specific technology platforms and vendors (Hadrius, QuestCE, WebCE, EDGAR)
• Experience with GIPS reporting standards beneficial

SUMMARY:

Our Service Team consistently strives for service excellence. The Front Desk Associate is a critical role serving as a front desk receptionist and general office administrator for incoming phone calls, office visits/appointments and various office needs. In addition, the Service Associate works closely with advisors to deliver the best client experience. Service Associates are critical to the service delivery and provide a high-touch experience with our clients.

This is a full-time, non-exempt position based in Dansville, NY, with an expectation of working on-site five days per week. The base salary range for this role is $50,000–$55,000 annually.

 DUTIES AND RESPONSIBILITIES

• Deliver exceptional service in every client interaction
• Greet and assist our clients and guests with service requests and appointments
• Partners with advisor team to set and achieve high service standards
• Manage and review calendars for advisors and prepare appropriate materials for upcoming appointments
• Ensure a seamless onboarding experience and work with clients to set a great first impression
• Remove roadblocks for clients and focus on ease of doing business
• Deliver customized service with each client and demonstrate ownership for every request
• Coordinate client appointments, process requests received from advisors and clients
• Answer phone calls and emails from clients; follow up on client requests
• Submit transaction requests to processing team to ensure completion and accuracy
• Ability to handle multiple advisors’ book of business and complex service situations
• Understand department workflows, policies and procedures to submit requests correctly and timely
• Identify process improvements and partners with leaders to implement changes
• Provides notary services for client transactions
• Prepare and stock refreshments for the office daily
• Help with snacks, beverages and meals as needed for the office staff or clients
• Direct incoming client phone calls to appropriate departments
• Manage office supplies and restock as needed
• Receive all deliveries and route to the appropriate recipient
• Prepare internal mail for routing to appropriate offices; receive, open and sort daily mail; Assist with facilities related issues and tasks as needed
• Maintain satisfactory attendance
• Suggest and embrace process improvements
• Focus on quality and accuracy of work
• Any other duties as assigned

QUALIFICATIONS

• Passion for excellent service and client satisfaction
• Excellent verbal and written communication skills
• Minimum 1 year of financial services industry and client service experience preferred
• Strict attention to detail with high quality results
• Ability to multi-task and prioritize work daily
• Flexibility and embraces change
• Strong organizational skills and ability to meet all deadlines
• Strong team player and approachable
• High degree of professionalism
• Proficient with Microsoft Office and navigation of systems
• BS/BA degree or equivalent work experience preferred

PHYSICAL REQUIREMENTS

• Works in an office environment
• Requires extended periods of sitting or standing at a desk, talking on the phone, and typing
• Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer
• Occasionally move about inside the office to access file cabinets, office equipment, etc.
• May carry or lift weight up to 10 lbs. in very limited occurrences

SUMMARY:

Allworth’s Retirement Plan Services (RPS) business partners with plan sponsors to design, improve, and govern employer-sponsored retirement programs, including 401(k), 403(b), defined benefit, and non-qualified plans, while helping participants make confident decisions.

The Director of RPS is responsible for stabilizing, leading, and optimizing the established RPS business line while serving as a key partner to advisors delivering retirement plan solutions to their clients. This role is primarily focused on protecting and enhancing an existing business by creating structure, accountability, and consistency across a function that has operated without consistent leadership, while also positioning RPS as a more effective and scalable contributor to advisor-driven growth.

This includes establishing operating rhythm, clear ownership, performance visibility, and disciplined execution against business goals. In parallel, this role plays a critical role in enabling growth by strengthening how RPS supports advisors in winning and expanding retirement plan relationships through strong plan design, RFP support, and consistent execution—ultimately improving conversion, retention, and overall performance of the RPS business.

This is an in-person, Exempt level position in our Addison,TX office.

This leader will ensure strong execution against business targets by:

• Effectively managing and retaining the current book of business
• Supporting advisors in winning and servicing retirement plans
• Providing leadership and direction to a small internal RPS team
• Bringing discipline and clarity to a function operating without a defined strategy

This is a critical role in protecting an important revenue stream for the firm and ensuring RPS effectively supports broader advisor-driven growth.

KEY RESPONSIBILITIES: 

RPS Business Leadership & Execution

• Provide leadership and direction to the RPS function, establishing clarity in priorities, roles, and expectations
• Own execution against the RPS annual growth goal ensuring accountability, clear tracking, forecasting and intervention when performance is off-track.
• Bring structure and discipline to a function that currently lacks defined strategy and operating rhythm
• Monitor performance and proactively address gaps to ensure targets are met

Advisor Support & Plan Growth Enablement

• Partner closely with advisors to support retirement plan opportunities, including RFPs, plan design, and positioning
• Serve as a subject matter expert to help advisors win and retain retirement plan business
• Ensure RPS is effectively integrated into the advisor workflow as a support function
• Improve consistency and quality of proposal and client-facing materials

Client & Plan Management

• Oversee management of approximately $1B in retirement plan assets across ~200 plans
• Ensure high-quality servicing, governance, and client experience across all plans
• Drive retention of existing plans through proactive engagement and service delivery
• Standardize service models and expectations across clients

Team Leadership

• Lead and develop a small team (relationship managers and administrative support)
• Operate as a player-coach—willing to engage directly in plan support, advisor enablement, and client situations when needed
• Establish clear roles, performance expectations, and accountability standards
• Provide coaching and day-to-day leadership to improve team effectiveness
• Ensure appropriate resource allocation to support advisor needs and client demands

Operational Discipline & Process Improvement

• Implement consistent processes for plan management, advisor support, and internal coordination
• Improve efficiency and clarity in how work flows through the RPS function
• Identify and address operational gaps impacting performance or client experience

Risk & Compliance

• Ensure adherence to ERISA, DOL, and IRS requirements in partnership with Compliance and Legal
• Maintain strong fiduciary standards, documentation practices, and governance processes

REQUIREMENTS: 

• 10+ years in retirement plan services, institutional consulting, or related field
• Experience managing and servicing retirement plan business (not solely sales-focused roles)
• Demonstrated ability to lead small teams and drive execution in under-structured environments
• Proven ability to step into under-structured environments and create clarity, process, and accountability
• Experience working in advisor-led or distributed sales models (preferred)
• Strong understanding of ERISA, fiduciary standards, and plan governance
• Ability to partner effectively with advisors and act as a technical expert in retirement plans
• Strong organizational and execution skills; able to bring structure and discipline to ambiguous situations
• AIF / AIFA, CPFA, CEBS, CFA, CFP, or comparable retirement/benefits designations (Preferred)

Success Profile

What Success Looks Like in 6–12 Months

Business Performance

• RPS meets or exceeds ~$175M annual objective
• Clear visibility into pipeline, plan retention, and performance drivers

Stability & Structure

• Defined operating rhythm (reporting, pipeline reviews, advisor engagement)
• Clear roles and accountability across the RPS team
• Reduced dependency on ad hoc or reactive work

Advisor Enablement

• Advisors consistently engage RPS earlier and more effectively
• Improved win rates and quality of plan proposals
• RPS is seen as a value-add partner—not an administrative function

Client Retention & Experience

• Strong retention across ~200 plans
• Consistent service model and client experience
• Fewer escalations or service gaps

Team Effectiveness

• Team operates with clarity, ownership, and improved output
• Leader successfully balances coaching with execution

Ideal Candidate Profile

• Operator first, strategist second
• Comfortable in ambiguity; creates structure quickly
• Strong retirement plan expertise (ERISA, fiduciary, plan design)
• Collaborative and advisor-friendly (not territorial or sales-driven)
• Willing to be hands-on and solve problems directly
• Brings calm, disciplined leadership to an under-defined environment

 The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.  Typical reporting relationships are described, but actual relationships may vary in some instances.  This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

SUMMARY:

Our Service Team consistently strives for service excellence. Sr. Service Associates work with our Service team and provide support to our Financial Advisors. Sr. Service Associates play a key role in providing exceptional service to clients of our financial advisory team. This role supports both clients and advisors with a focus on addressing inquiries, managing client accounts, and ensuring smooth operations. The individual will handle day-to-day client requests, manage paperwork, and assist with account transactions, working closely with senior team members to maintain a high standard of service.

This is a full-time, Non-Exempt role based out of our Walnut Creek, CA office and requires 5 days of in-office work. This position has a budgeted salary of $70,000-$85,000, which will be based on the candidates expierence. In addition, this position is eligible for an annual bonus based on their performance and the companies.

DUTIES AND RESPONSIBILITIES

• Serve as a point of contact for clients, responding to calls and emails, addressing their needs and inquiries in a timely manner.
• Coordinate and manage client appointments, ensuring all logistics and documentation are prepared.
• Process client requests, including account transactions, and paperwork in compliance with firm procedures.
• Support the onboarding process for new clients, ensuring a smooth and positive first experience.
• Work with custodians and internal teams to resolve any issues related to account maintenance, transfers, or service requests.
• Provide notary services for client transactions as needed.
• Assist in maintaining accurate client records and ensure all documentation is up to date.
• Work with financial advisors to understand client preferences and goals and help relay that information accurately.

QUALIFICATIONS

• 5-8 years of experience in a client-facing administrative role within the financial services industry.
• BS/BA degree preferred – GED required
• Strong communication skills with the ability to manage client relationships.
• Experience with CRM systems
• Knowledge of regulatory requirements and industry best practices is a plus.
• Detail-oriented with a strong focus on accuracy.
• Ability to multitask and prioritize in a fast-paced environment.
• Proficiency with Microsoft Office Suite.

PHYSICAL REQUIREMENTS

• Works in an office environment
• Requires extended periods of sitting or standing at a desk, talking on the phone, and typing
• Use hands, fingers to constantly operate a computer and office equipment, such as copy machine and printer
• Occasionally move about inside the office to access file cabinets, office equipment, etc.
• May carry or lift weight up to 10 lbs. in very limited occurrences

SUMMARY:

We’re currently seeking a Tax Administration Support for our Pleasant Hill CA office. 

This is a full-time, Non-Exempt role based out of Pleasant Hill. The pay range is $20- $25/ hour

DUTIES AND RESPONSIBILITIES:

• Assist partners with Billing support (reviewing WIP, creating invoices, emailing invoices). Training will be provided.
• Assist partners with scheduling and email management
• Assist with files deadlines and project management
• Assist with login procedures
• Assist with scheduling of appointments

QUALIFICATIONS:

• A Bachelor's degree (Accounting Preferred)
• Ability to work in a fast-paced environment & Ability to work well with others
• Excellent written, verbal, and listening communication skills
• Excellent PC skills, including Microsoft Office
• 1-2 years of experience

SUMMARY:

We are seeking a dynamic, hands-on, strategic and highly collaborative Vice President, Strategic initiatives to lead cross-functional initiatives that drive technological innovation and operational excellence across the firm. This role will serve as a bridge between software engineering, infrastructure, marketing, financial services and leadership team, with a strong focus on delivering value through solutions that scale. 

You’ll be the architect and implementor of transformative projects — from AI-driven automations to system integrations supporting client acquisition and experience. This is a roll-up-your-sleeves role for a technically proficient leader with exceptional project vision, execution discipline, and an explorative mindset. 

This is an full time Exempt position with a salary range of $150-$180K annual salary. This position will be in our Folsom, CA, Addison, TX, Cincinnati, OH office or working remote. 

Key Responsibilities 

• Project Leadership & Execution 

• Lead high-impact, cross-disciplinary special projects across engineering, marketing tech, operations, and M&A needs. 

• Serve as the strategic and technical owner of initiatives involving AI, automation, strategic CRM enhancements or new tool selection, and marketing enablement tools. 

• Be a vocal champion for AI progress within the firm, partnering with the AI council on strategy and execution 

• Actively seek out meaningful, scalable use cases within the business where AI can unlock efficiency, insights, or innovation. 

• Work closely with the financial services group and Analytics team. 

• Technical Innovation & Hands-On Development 

• Evaluate, prototype, and implement modern technologies (AI/ML, automation frameworks, low-code platforms) including automation. 

• Work hands-on when necessary — writing proof-of-concept code, creating technical documentation, or leading architecture design. 

• Stay current on AI trends and capabilities enough to confidently assess what’s possible, what’s hype, and how to frame solutions that are both ambitious and achievable. 

• Platform Strategy & Integration 

• Find creative ideas to build and support data migration and conversion efforts related to acquisitions and business process optimization. 

• Have a strong focus of efficiency, scalability, security and adherence to compliance standards. 

•  Partner with Marketing, Service, advisors and Client Experience teams to co-implement technology-backed growth strategies. 

• Infrastructure & Scaling 

• Support the infrastructure team to select and deploy internal and client-facing tools that is scalable, secure, and efficient.  

• Leverage third party service providers and offshore vendors for expertise. 

• Research and find tools suited best for the business and perform POC to vet solutions for enhanced client experience and associate efficiency. 

Essential Skills & Qualifications 

Technical & Functional 

• Strong experience in software engineering and architecture (e.g., full-stack development, APIs, system integrations), project management and business analysis. 

• Expertise in: 

• Salesforce FSC (Financial Services Cloud) preferred. 

• HubSpot, Regal.io or other dialers, Tamarac or other Portfolio accounting systems 

• Data transformation/migration tools, Synapse or Microsoft Fabric data systems 

• AI/ML frameworks (e.g., OpenAI, StackAI, RAG frameworks) 

• Workflow automation (Zapier, Mulesoft, custom API integrations) 

Strategic & Operational 

• Proven track record of leading transformative cross-functional projects. 

• Experience supporting technology needs during mergers and acquisitions, especially data conversion and onboarding. 

• Deep understanding of RIA or financial services business is mandatory. 

Leadership & Collaboration 

• Highly communicative and capable of translating complex technology into business value. 

• Leadership experience in matrixed environments — able to influence without direct authority. 

• Curiosity-driven and comfortable navigating ambiguity. 

Preferred Background 

• Minimum bachelor’s in Computer Science, Engineering, or related field. 

• 10+ years of experience in software or systems engineering with a minimum of 3 years in a high growth RIA in a senior role 

• 5+ years experience in a similar role implementing transformative technical advancements. 

SUMMARY:

We are seeking a dynamic, hands-on, strategic and highly collaborative Vice President, Strategic initiatives to lead cross-functional initiatives that drive technological innovation and operational excellence across the firm. This role will serve as a bridge between software engineering, infrastructure, marketing, financial services and leadership team, with a strong focus on delivering value through solutions that scale. 

You’ll be the architect and implementor of transformative projects — from AI-driven automations to system integrations supporting client acquisition and experience. This is a roll-up-your-sleeves role for a technically proficient leader with exceptional project vision, execution discipline, and an explorative mindset. 

This is an full time Exempt position in one of our offices or working remote. 

Key Responsibilities 

• Project Leadership & Execution 

• Lead high-impact, cross-disciplinary special projects across engineering, marketing tech, operations, and M&A needs. 

• Serve as the strategic and technical owner of initiatives involving AI, automation, strategic CRM enhancements or new tool selection, and marketing enablement tools. 

• Be a vocal champion for AI progress within the firm, partnering with the AI council on strategy and execution 

• Actively seek out meaningful, scalable use cases within the business where AI can unlock efficiency, insights, or innovation. 

• Work closely with the financial services group and Analytics team. 

• Technical Innovation & Hands-On Development 

• Evaluate, prototype, and implement modern technologies (AI/ML, automation frameworks, low-code platforms) including automation. 

• Work hands-on when necessary — writing proof-of-concept code, creating technical documentation, or leading architecture design. 

• Stay current on AI trends and capabilities enough to confidently assess what’s possible, what’s hype, and how to frame solutions that are both ambitious and achievable. 

• Platform Strategy & Integration 

• Find creative ideas to build and support data migration and conversion efforts related to acquisitions and business process optimization. 

• Have a strong focus of efficiency, scalability, security and adherence to compliance standards. 

•  Partner with Marketing, Service, advisors and Client Experience teams to co-implement technology-backed growth strategies. 

• Infrastructure & Scaling 

• Support the infrastructure team to select and deploy internal and client-facing tools that is scalable, secure, and efficient.  

• Leverage third party service providers and offshore vendors for expertise. 

• Research and find tools suited best for the business and perform POC to vet solutions for enhanced client experience and associate efficiency. 

Essential Skills & Qualifications 

Technical & Functional 

• Strong experience in software engineering and architecture (e.g., full-stack development, APIs, system integrations), project management and business analysis. 

• Expertise in: 

• Salesforce FSC (Financial Services Cloud) preferred. 

• HubSpot, Regal.io or other dialers, Tamarac or other Portfolio accounting systems 

• Data transformation/migration tools, Synapse or Microsoft Fabric data systems 

• AI/ML frameworks (e.g., OpenAI, StackAI, RAG frameworks) 

• Workflow automation (Zapier, Mulesoft, custom API integrations) 

Strategic & Operational 

• Proven track record of leading transformative cross-functional projects. 

• Experience supporting technology needs during mergers and acquisitions, especially data conversion and onboarding. 

• Deep understanding of RIA or financial services business is mandatory. 

Leadership & Collaboration 

• Highly communicative and capable of translating complex technology into business value. 

• Leadership experience in matrixed environments — able to influence without direct authority. 

• Curiosity-driven and comfortable navigating ambiguity. 

Preferred Background 

• Minimum bachelor’s in Computer Science, Engineering, or related field. 

• 10+ years of experience in software or systems engineering with a minimum of 3 years in a high growth RIA in a senior role 

• 5+ years experience in a similar role implementing transformative technical advancements.