THE PACIFIC FINANCIAL GROUP INC

Role Description The Portfolio & Trading Analyst plays a critical role in supporting daily trading operations and portfolio management activities by ensuring accurate trade execution, maintaining portfolio integrity, performing analysis, and supporting key investment processes. Working collaboratively with Portfolio Management, Trading Operations, and Client Service teams, this role contributes to efficient investment operations, including trade execution, accurate account management, and timely reporting within a dynamic and fast-paced environment. Remote candidates are encouraged to apply; however, candidates must be able to work market-aligned hours, including a 6:00 AM PST start time. Key Responsibilities - Trading & Operations - Executes trades for new accounts, rebalances, cash movements, and investment changes - Ensures accuracy and timeliness for all trade activities - Monitors and processes trade instructions from Portfolio Managers and strategists - Performs account, cash, and position reconciliations - Reviews daily reports and resolves discrepancies - Portfolio Management Support - Assists with daily, monthly, and quarterly portfolio reporting activities - Maintains and updates portfolio and account data - Analyzes portfolio and client performance - Validates financial and market data used in reporting - Supports rebalancing, asset allocation, and portfolio reviews - Collaboration & Reporting - Partners with internal teams to ensure seamless operations - Communicates trade and portfolio updates to stakeholders - Contributes to process improvements and operational efficiencies Qualifications - 2+ years of trading operations, portfolio analytics, or related experience - Strong understanding of securities and financial markets - Advanced proficiency in Microsoft Excel and the Microsoft Office Suite - Strong analytical, organizational, critical thinking, and problem-solving skills - Excellent communication, time management, and ability to manage multiple priorities in a fast-paced environment Preferred Experience - Experience within RIA, broker/dealer, or investment advisory environments - Experience with portfolio management, trading, and related technology platforms (Morningstar, Salesforce, Orion) Education - Bachelors degree preferred - Equivalent industry experience will be considered

Role Description The CRM Administrator is responsible for managing and optimizing the firm’s CRM platforms and go-to-market technology stack, with a primary focus on Salesforce administration. This versatile role sits within the IT department while supporting Sales, Marketing, and Operations through effective data management and workflow enablement. The position ensures the CRM environment is reliable, scalable, and aligned with revenue-generating processes. It maintains data hygiene, integrity, improves and automates workflows, and manages integrations across systems. The role also supports advanced development initiatives, translating business needs into technical solutions. By combining system administration with process optimization and cross-functional support, the CRM Administrator drives operational efficiency, pipeline visibility, and overall business growth. Qualifications - 3+ years of hands-on experience administering CRM and marketing automation platforms, with a strong focus on Salesforce and HubSpot. - Deep expertise in configuring and managing Salesforce and HubSpot, including automation, data structures, user management, and system customization. - Proven experience integrating Salesforce and HubSpot within a multi-platform technology ecosystem, ensuring seamless data flow and system connectivity. - Strong data analysis skills, including advanced Excel (VLOOKUPs, pivot tables, formulas), with a focus on maintaining data integrity across platforms. - Demonstrated problem-solving ability, strong attention to detail, and the ability to troubleshoot complex system and data issues. - Excellent communication skills, with the ability to translate technical concepts into clear, actionable insights for Sales, Marketing, and Operations teams. - Ability to manage multiple priorities in a fast-paced environment and quickly adapt to new tools, technologies, and business needs. Requirements - Knowledge of financial services industry workflows, compliance requirements, and operational processes. - Salesforce Administrator or Developer certification(s). - HubSpot certification(s). - Experience with AI‑enabled workflow tools or agentic automation (e.g., Agentforce). - Familiarity with BI and reporting tools such as Tableau. - Experience with APIs, data warehousing concepts, or structured databases. - Background in project management or process documentation. Education - Bachelor’s Degree, comparable work experience may be considered.

Role Description The Senior Compliance Manager will develop and manage control systems to ensure compliance with regulatory and internal policies. The role includes enhancing the efficiency of the Compliance Department by overseeing strategic planning and technology initiatives to streamline processes. Acting as a liaison between Compliance and other departments, the Senior Compliance Manager ensures alignment with Company goals. This position reports to the Chief Legal/Compliance Officer. Key Responsibilities - Implementing and updating the Compliance Policies & Procedures Manual to reflect RIA/SEC obligations. - Overseeing periodic testing and monitoring of key compliance areas, including advertising & marketing, portfolio management/trading oversight, privacy/security controls, personal trading/Code of Ethics, and record keeping. - Supervising the review of client communications, marketing materials, website content, and social media posts to ensure compliance with SEC advertising rules and Company standards. - Preparing and updating regulatory filings and disclosures (e.g. Form ADV and other SEC/State filings). - Reviewing annual training content and tracking employee training and attestations. - Overseeing due diligence and oversight of vendors and referring advisors. - Serving as an expert resource for preparation of SEC examinations, mock audits, and internal compliance reviews. - Developing and overseeing control systems to prevent or rectify violations of regulatory guidelines and internal policies. - Facilitating cross-functional departmental collaboration, ensuring regulatory considerations are integrated into strategies and projects. - Leading initiatives for ethical conduct within the Company, promoting a culture of integrity and accountability. - Assessing future ventures to identify possible regulatory risks. - Supporting compliance obligations of an investment advisor to mutual funds. Qualifications - 8-12 years of experience in compliance, legal, or regulatory risk management. - Prior experience in the financial services industry either with a Registered Investment Advisor or Broker/Dealer. - Expertise in SEC regulations relevant to wealth management, asset management, mutual funds, and investment advisory firms. - Strong project management skills for cross-functional initiatives. Preferred Experience - Professional certifications and licenses (IACCP, Series 65) a plus. Education - Bachelor’s degree or industry experience required. - J.D. or M.B.A. a plus.