Mariner

• Lead and continuously enhance the firm’s enterprise-wide compliance program, ensuring alignment with regulatory requirements and business objectives. • Develop and execute a strategic vision for the compliance function that supports growth and operational excellence. • Serve as a key advisor to the Chief Risk Officer, providing insights and recommendations on compliance risks, regulatory trends, governance, and program effectiveness. • Oversee compliance policies, procedures, monitoring, testing, training, surveillance, investigations, and issue management. • Manage regulatory exams, audits, inquiries, and reporting, ensuring thorough and timely engagement with internal and external stakeholders. • Serve as designated Chief Compliance Officer for regulated entities as assigned. • Collaborate with business, legal, risk, operations, and technology leaders to define and advance the future compliance operating model, integrating automation, AI, and digital workforce where appropriate. • Identify and implement technology-enabled solutions to reduce manual work, improve consistency, and enable compliance professionals to focus on higher-value activities. • Guide compliance frameworks and oversight practices to support the firm’s digital transformation and adoption of new technologies. • Promote a collaborative, inclusive, and high-performing culture within the compliance team. • Mentor and develop compliance leaders and staff, building organizational capability in anticipation of future needs. • Foster alignment and shared accountability across the compliance organization for an effective, unified program. • Champion innovation, continuous improvement, and responsible experimentation. • Escalate significant compliance issues and emerging risks transparently and promptly.

• Serve as the primary administrator for a ~100-user Salesforce org utilizing Financial Services Cloud and Einstein 1 licenses. • Oversee user setup, profiles, permission sets, role hierarchy, queues, and security controls. • Maintain data integrity through validation rules, duplicate management, and scheduled data audits. • Develop and manage reports, dashboards, and list views to deliver actionable business insights. • Deliver end-user support and training; create documentation outlining system processes and best practices. • Design and implement scalable solutions using Apex (triggers, classes), Lightning Web Components (LWC), Flows, and other programmatic tools. • Customize FSC objects, record types, page layouts, and business processes tailored to the wealth management/RIA industry. • Integrate third-party applications, including document management, e-signature, custodial platforms, and marketing automation systems. • Leverage Einstein 1 features to provide AI-driven insights such as predictive analytics, opportunity scoring, and workflow optimization. • Identify and develop use cases for embedded AI within Salesforce. • Manage large volumes of structured and unstructured data in Salesforce Data Cloud to create unified and harmonized client profiles.

• Originate and cultivate middle-market investment banking opportunities • Leverage Mariner's advisor network for sell-side, recapitalization, and strategic advisory opportunities • Serve as a strategic advisor to founder-led businesses • Lead client engagements throughout the transaction lifecycle • Direct end-to-end transaction execution • Partner with investment banking and legal teams for integrated advisory solutions • Drive business growth and market expansion • Maintain accountability for transaction quality and client satisfaction • Mentor and develop investment banking professionals

• Lead the design and implementation of AI-powered automation within Salesforce Financial Services Cloud (FSC) ecosystem • Architect and deploy Agentforce agents, autonomous workflows, and AI-enhanced advisor tools • Automate advisor workflows, client service activities, and operational processes • Develop and optimize agent topics, actions, and instructions using advanced prompt engineering • Integrate Agentforce with MuleSoft APIs, external data feeds, and financial planning platforms • Partner with FSC Solution Architects to align agent solutions with CRM data models, security frameworks, and best practices • Implement Salesforce Einstein features to deliver actionable insights and recommendations for advisors • Conduct comprehensive testing and monitor agent performance, analyze usage data, and refine workflows

• Serve as the FSC solution architect, owning the technical design of new capabilities including data model decisions, integration points, and UX patterns • Lead development of advanced Salesforce features using Apex, Lightning Web Components (LWC), and declarative tools (Flow, OmniStudio) • Design and maintain the FSC data model including Households, Financial Accounts, Relationships, Goals, and custom extensions • Define and enforce development standards, code review practices, and deployment processes across the Salesforce team • Collaborate with Agentforce and MuleSoft Developers to design cohesive, cross-platform architectures • Lead technical discovery sessions with business stakeholders and translate requirements into well-scoped platform solutions • Oversee org health by driving technical debt reduction, governor limit management, and performance optimization • Support Salesforce release management activities, including sandbox strategy, change set/metadata API deployments, and governance of releases • Evaluate and guide the platform's adoption of new Salesforce features, such as those on the Agentforce and Einstein roadmaps

• Administer and govern our enterprise Slack workspace, including user provisioning, channel management, app permissions, and workspace settings. • Develop and manage the Slack/Salesforce FSC integration workstream in collaboration with the FSC development team. • Configure and manage Slack Connect channels to support external advisor and partner communications. • Evaluate, deploy, and manage Slack apps and workflow automations using Workflow Builder to drive efficiency for advisor operations teams. • Enforce compliance and data retention policies through close coordination with Legal, Compliance, and IT Security teams. • Monitor and analyze workspace usage, generating insights to inform and enhance our communication strategy. • Act as the internal subject matter expert and point of escalation for all Slack-related technical and usage issues. • Maintain up-to-date documentation for workspace configuration, integration architecture, and governance protocols.

Role Description Mariner is seeking a skilled Salesforce Developer to drive the ongoing development, optimization, and support of our Salesforce environment. This role is integral to advancing our firm’s operational and strategic goals by delivering scalable, efficient, and secure Salesforce solutions. Working closely with cross-functional teams, you will help enhance our platform’s capabilities, provide user support, and ensure the system meets the evolving needs of the business. Key Responsibilities - Salesforce Administration - Serve as the primary administrator for a ~100-user Salesforce org utilizing Financial Services Cloud and Einstein 1 licenses. - Oversee user setup, profiles, permission sets, role hierarchy, queues, and security controls. - Maintain data integrity through validation rules, duplicate management, and scheduled data audits. - Develop and manage reports, dashboards, and list views to deliver actionable business insights. - Deliver end-user support and training; create documentation outlining system processes and best practices. - Salesforce Development - Design and implement scalable solutions using Apex (triggers, classes), Lightning Web Components (LWC), Flows, and other programmatic tools. - Customize FSC objects, record types, page layouts, and business processes tailored to the wealth management/RIA industry. - Integrate third-party applications, including document management, e-signature, custodial platforms, and marketing automation systems. - Einstein 1 Capabilities - Leverage Einstein 1 features to provide AI-driven insights such as predictive analytics, opportunity scoring, and workflow optimization. - Identify and develop use cases for embedded AI within Salesforce. - Manage large volumes of structured and unstructured data in Salesforce Data Cloud to create unified and harmonized client profiles. Qualifications - Required: - 3+ years of experience in Salesforce Administration and/or Development. - Experience working in or supporting Salesforce Financial Services Cloud. - Strong understanding of wealth management, RIA operations, or financial services industry workflows. - Proficiency in Apex, Flows, Lightning components, and Salesforce DX. - Experience supporting and administering a user base of 50+ in a Salesforce production environment. - Preferred: - Familiarity with Salesforce Einstein 1 features and capabilities. - Experience with Data Cloud ingestion configuration, model mapping, and segment creation. - Salesforce Administrator Certification (ADM 201). - Salesforce Platform Developer I Certification. - Experience with Salesforce Shield, encryption, and compliance controls. - Familiarity with marketing and client communication tools integrated with Salesforce (e.g., Pardot, Marketing Cloud, or third-party integrations). Benefits - We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. - We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. - We offer an innovative workplace and a culture that fosters camaraderie, teamwork, and work-life balance. Company Description We welcome your interest in being a part of our firm. By submitting your application, you agree to the collection and use of your personal information as described in our Employee and Applicant Privacy Notice. EOE M/F/D/V

• Architect, develop, and sustain integration layers connecting Salesforce Financial Services Cloud to financial planning platforms • Design and develop integrations on MuleSoft Anypoint Platform • Build and maintain RESTful and SOAP APIs using RAML/OAS • Implement error handling, retry mechanisms, monitoring, and alerting • Collaborate with FSC solution architects to interpret business requirements • Own the API lifecycle and coordinate with corporate IT for integration ownership • Troubleshoot integration issues and perform root cause analysis

• Develop and execute Mariner's enterprise-wide data strategy using a future-back perspective aligned with the firm's long-term business and technology objectives. • Define the enterprise data operating model, including governance, ownership, stewardship, integration, access, protection, and lifecycle management. • Evaluate the current enterprise data landscape, identifying opportunities to improve data quality, governance, interoperability, scalability, and business value. • Translate long-term strategy into a practical, phased roadmap with measurable milestones and business outcomes. • Consult on the evaluation and onboarding of new platforms and vendors, establishing enterprise standards for data integration, ownership, governance, and interoperability before implementation. • Establish enterprise standards for metadata, lineage, stewardship, classification, ownership, quality, access controls, and accountability. • Define enterprise data domains, semantic standards, reusable data products, and common business definitions that improve consistency across the organization. • Develop governance principles supporting both human and AI-enabled interactions with enterprise data. • Ensure enterprise data is trusted, discoverable, auditable, and appropriately governed for operational, analytical, regulatory, and AI-enabled use cases. • Establish measurable standards for data quality, completeness, consistency, timeliness, and fitness for purpose. • Define enterprise standards for data integration, interoperability, orchestration, and information architecture across platforms and business functions. • Guide buy-versus-build decisions for enterprise data platforms, governance capabilities, integration technologies, metadata management, and orchestration tools. • Develop reference architectures that support AI readiness, operational scalability, enterprise analytics, and future-state intelligence capabilities. • Ensure enterprise systems, workflows, and integrations support the consistent, secure, and governed movement of information across the organization. • Define the enterprise data strategy required to support responsible AI adoption, automation, digital workers, and agentic workflows. • Establish governance models for trusted AI-enabled data access, permissions, semantic understanding, lineage, explainability, and auditability. • Partner with Innovation, Technology, Legal, Compliance, Information Security, and business leadership to ensure AI initiatives are built upon trusted, governed, and secure data foundations. • Monitor emerging technologies and industry trends to ensure Mariner's enterprise data strategy remains future-ready. • Partner closely with Legal, Compliance, Risk, Audit, and Information Security to ensure enterprise data practices meet applicable regulatory, privacy, cybersecurity, supervision, and records management requirements. • Incorporate regulatory and governance considerations into enterprise data strategy from the outset rather than as downstream review activities. • Establish policies governing data retention, privacy, access management, PII protection, auditability, and appropriate data usage across internal and external stakeholders. • Build strong partnerships across Technology, Operations, Innovation, Business Intelligence, Legal, Compliance, Risk, Information Security, and business leadership. • Recommend organizational structures, governance forums, stewardship models, operating rhythms, and decision-rights frameworks that strengthen enterprise accountability. • Lead through influence, credibility, and collaboration in a highly matrixed environment. • Mentor enterprise architects, technical leaders, and governance stakeholders while fostering a culture that treats data as a strategic enterprise asset.

Role Description We are currently seeking strong candidates for a full-time Analyst, Portfolio Management to work remotely. The Analyst’s primary responsibility is to manage the assigned portfolios by reviewing for tax-loss harvesting, opportunistic rebalancing, and cash needs. They will work with advisors and wealth teams to understand the client's needs & goals, set up the portfolios appropriately, then be responsible for all trades and management of the investment strategy. - Understand all aspects of the portfolio management software and how it can be leveraged to assist wealth teams - Champion the adoption of portfolio management tools across Mariner - Work with wealth teams and the trading team to effectively manage client portfolios - Coordinate the onboarding of wealth advisory teams from legacy portfolio management systems to the current system - Set up new client portfolios in portfolio management software - Perform portfolio reviews looking for opportunities to: - Rebalance - Tax-loss harvest - Invest or generate cash depending on need - Ensure data is updated and accurate Qualifications - Bachelor’s degree in Accounting, Finance or other related business major preferred - 3+ years of prior experience working in a financial planning, investment management, brokerage firm, or other organization that provided relevant experience - Series 65 or equivalent Requirements - Works well independently with minimal supervision; Self-starter - Able to handle multiple tasks with an appropriate sense of urgency - Sound decision-making abilities - Excellent analytical, written, and verbal communication skills - Strong attention to detail, time management, and organizational skills - Excellent customer service skills to provide optimal service to our internal clients - Experience with various trading systems, a plus (Orion Eclipse, Advent Black Diamond, etc.) - Preferable to have strong understanding of portfolio analysis & investment concepts, including but not limited to: - Portfolio construction metrics - Investment Styles - Correlation - Tax-loss harvesting rules - High degree of technical aptitude with ability to: - Quickly learn multiple software programs - Create reports using raw excel data - Interpret data - Possess a growth mindset and ability to handle a fast-paced environment and constructive feedback Benefits - We believe in giving associates progressive opportunities - Actively nurturing professional growth - Giving back to the community - Dedicated to building a diverse culture where everyone has the support they need to achieve their career goals - Innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance