Branch Supervision Associate
Job Summary:
The Supervision Department is a critical component of Benjamin F. Edwards mission of placing the clients’ interests first, while ensuring the firm remains in compliance with industry rules and regulations. As a Branch Supervision Associate (Central Supervision team) you will partner with other supervisors and corporate divisions to proactively mitigate risk by managing activity, product oversight, escalation approvals and governance.
Essential Duties & Responsibilities:
Perform centralized supervisory functions such as insurance transaction review, complex product supervision and correspondence review to ensure proper adherence to firm and industry policy.Perform trade and account reviews for brokerage and Advisory accounts; deposits and disbursements reviews; review and approval for new accounts and account updates.Address sensitive supervision issues with the appropriate Regional Directors, Branch Managers and Financial Advisors.Identify supervisory areas of concern, ongoing issues, and reoccurring patterns at an employee, office, or management level and bring these to the attention of the appropriate individual(s).Develop and document procedures and informational internal communications.Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available.Qualifications:
Demonstrated knowledge of Rules and Regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and other Federal and State securities regulatory and banking agencies.Ability to handle information professionally and confidentially.Solid conflict management and decision-making skills; ability to act independently.Ability to interact with all levels of branch associates and business units.Ability to utilize various electronic supervisory systems and exception reports.Excellent written, verbal, and analytical skills.
Education and/or Work Experience:
Minimum Education Required: Bachelor’s degree or equivalent work-related experience of 9 + yearsMinimum Work Experience Required: 3+ years Compliance or Supervision experience and Complex Product and/or Annuity Experience Preferred.
Licenses/Registration:
Minimum Required: SIE, Series 7 and 66 at time of hire. Ability to obtain Series 9/10 and/or 24 within 120 days. Health and Life Insurance licensing preferred and must be obtained within six months of hire.Work Environment:
This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
About Benjamin F. Edwards
If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.
We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.
We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.
We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.
Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status. Benjamin F. Edwards is an Equal Opportunity Employer.
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Read LessSenior Tax Planning Advisor - CPA
Summary:
The Senior Tax Planning Advisor - CPA is a key member of the Financial Planning Team and is responsible for delivering proactive, client‑specific tax planning strategies for high‑net‑worth individuals and families. While this role requires strong experience in individual tax return preparation, the primary focus is tax planning, analysis, and strategy development, not tax compliance or tax return production.
This individual will analyze a client’s full financial picture and collaborate with Financial Advisors, clients, and client CPAs to identify tax‑efficient opportunities aligned with the client’s goals. The ideal candidate is a CPA who can translate complex tax concepts into clear, actionable recommendations and communicate them effectively—both verbally and in writing—to clients and advisors.
Essential Duties & Responsibilities:
Tax Planning & Analysis
Analyze client tax situations, including income, investments, retirement plans, equity compensation, business interests, and estate considerations. Develop individualized, forward‑looking tax planning strategies, such as: Income and deduction timing strategiesRetirement distribution and Roth conversion planningCapital gains and loss harvesting strategiesCharitable giving strategies (DAFs, QCDs, etc.)Tax‑efficient investment and asset location planningEvaluate the tax impact of financial planning recommendations and investment decisions. Stay current on tax law changes and proactively identify planning opportunities for clients.Partner with the Planning Team and others across the firm to develop and communicate planning strategies and support the field.Primary contact with vendors that provide tax planning tools and resources.Provide support to Financial Advisors using Tax Planning Tools.Advisor & Client Collaboration
Participate in client meetings alongside Financial Advisors to explain tax strategies and planning concepts.Collaborate with advisors, clients, and their CPAs to discuss and evaluate possible planning opportunities, ensure alignment, and implement strategies. Serve as an internal tax resource for Financial Advisors, helping them identify and frame tax planning opportunities for clients. Provide written summaries and follow‑up communications to document planning opportunities.Communication & Education
Translate complex tax concepts into understandable summaries that advisors and clients can use.Communicate tax planning ideas and opportunities through blogs, white papers, webinars, etc.Assist in developing internal tools, templates, or educational materials related to tax planning best practices.Analytics and Reporting
Develop and monitor key performance metrics including advisor and client engagement, planning tool usage, business generated, measure the effectiveness of communications, etc.Prepare and maintain summary reports for executive leadership on impact and opportunities.Qualifications:
Strong technical knowledge of individual taxation Demonstrated experience or strong interest in tax planning, not solely tax compliance Excellent written and verbal communication skills Ability to analyze complex financial situations and identify tax‑efficient solutions Strong problem‑solving, critical thinking, and opportunity‑seeking mindsetExperience working with or alongside financial advisors or wealth management firmsExposure to investment‑related tax issues (capital gains, asset location, tax‑efficient investing)Experience collaborating with external CPAs and professional partnersComfort presenting in client meetings and advisor‑led discussionsClient‑focused and solutions‑oriented Collaborative and relationship‑driven Highly organized with strong attention to detail Comfortable balancing technical depth with practical recommendationsA deep alignment with the Golden Rule and a commitment to high-integrity, high-character leadership.Education and/or Work Experience:
Working Experience Required: 10+ years of related work experience and at least 5+ years of preparing individual tax returns (Form 1040), preferably including high‑net‑worth individuals Minimum Education Required: Bachelor’s degree in accounting, Finance, or related field (Master’s in Taxation a plus) CPA designation requiredLicenses/Registration:
Minimum Required: Series 7 and 63 preferred or the ability to attain within the first 12 months
Work Environment:
This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
About Benjamin F. Edwards
If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.
We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.
We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.
We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.
Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.
Benjamin F. Edwards is an Equal Opportunity Employer.
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Read LessSummary:
The HR Generalist plays a key role in ensuring a seamless employee experience as the first point of contact for the Human Resources department in a growing firm. This role is responsible for managing key HR processes, handling employee inquiries, providing policy interpretation/guidance, administering programs, and ensuring accurate and timely execution of employee lifecycle transactions. Reporting to the Vice President of Total Rewards, this role partners closely with employees, managers, vendors and HR team members to deliver accurate, timely, and compliant HR operations.
Essential Duties & Responsibilities:
Employee Support & Case Management
Oversee and administer the HR Zendesk case management system, independently evaluating issues, determining the appropriate course of action, resolving complex inquiries, escalating matters requiring legal or executive review to provide accurate and timely resolution of employee and leader requests.Manage all employee lifecycle data changes (such as onboarding, internal transfers, promotions, compensation updates, leaves of absence, and terminations) maintaining accurate and complete employee records in HR systems while identifying risks, recommending improvements, and ensuring complianceServe as first point of contact for HR department, responding to phone calls and emails and guiding employees through self-service tools.Collaborate with HR colleagues to identify and implement process improvements that enhance data governance/reporting accuracy, increase efficiency, mitigate risks and enhance employee experience.
Total Rewards
Partner with the Total Rewards team on the administration of health, wellbeing, retirement, compensation and leave programs.Interpret benefits, compensation, and leave policies to guide employees and leaders through complex situations; recommend solutions or policy clarification as needed. Work with compensation program to track salary ranges, administer compensation survey data participation, process health savings account (HSA) contribution forms and develop online tools for tracking.Manage designated steps in the leaves of absence process including return to work emails, status updates and documentation file management. Develop and maintain reporting of benefits, compensation and leave of absence programs. Partner with the Sr Total Rewards Specialist on benefits billing and reconciliation process.
HR Administration
Lead onboarding and offboarding processes such as new hire onboarding, exit interviews and unemployment claims.Respond to general employee relations inquiries providing policy interpretation and guidance.
Data Governance
Monitor data quality, conduct regular audits, and resolve discrepancies to ensure compliance with legal and organizational standards.Responsible forEEO-1 reporting requirements, ensuring accuracy and independently resolving discrepancies.Qualifications:
Strong working knowledge of human capital management systems such as ADP, Workday or Dayforce.Excellent attention to details and ability to manage multiple priorities.Communicates clearly and decisively, even when managing sensitive matters.Ability to interpret HR Policies, employment laws, and organizational practices and provide informed guidance to leaders. Experience working with benefits, leave of absences or HR compliance processes is preferred.
Education and/or Work Experience:
Working Experience Required: 3+ years of experience in HR operations, HR generalist work or HR shared servicesMinimum Education Required: Bachelor’s degree or equivalent work experience of 7+ years
Licenses/Registration:
Minimum Required: N/A
Work Environment:
This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
About Benjamin F. Edwards
If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.
We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.
We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.
We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.
Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.
Benjamin F. Edwards is an Equal Opportunity Employer.
#LI-Onsite
Read Less