Wealth Enhancement Group

Role Description We have an excellent opportunity for an Internal Sales Specialist. This role is responsible for supporting our Regional Vice Presidents (RVPs) in their pursuit of new client relationships. As an Internal Sales Specialist, you are an integral part of the business unit’s sales team and best-in-class support structure. The role requires a broad understanding of wealth management practices and financial planning. This is a remote work opportunity; however, candidates must be located in the Central or Eastern time zone to be considered for the role. In the spirit of pay transparency, we are excited to share the base salary range for this position is $70,000.00 - $85,000.00, exclusive of bonuses and benefits. Primary Job Functions - Rapid response - Acknowledge incoming referrals with internal processors for immediate action - Make initial contact with referring external partner in optimal response time - Help process leads in company systems for RVP and Advisor access - Sets initial client meetings & gathers appropriate case information for RVP - Oversees sales cycle - Pre-intro communications and scheduling - Post-intro communications and data gathering - Plan proposals and deliverable completion - Presentation coordination and onboarding experience - Sales team support - Partner with regional sales leadership to oversee new business pipeline - Coordinate with central support teams on sales related activity - Other duties and obligations as reasonably assigned or requested Qualifications - Bachelor’s degree in business, financial services or related field (preferred) - 2+ years applicable experience, ideally in project management and/or financial services - High level of attention to detail and ability to execute on multiple projects at one time - FINRA Series 7 and 66 (or 63 & 65) not required but may be beneficial - Basic knowledge of RIA and custodial platforms and investment products a plus - Strong oral, written and presentation skills - Ability to train and coach others - Proficient with Microsoft Office suite and Salesforce - Must be in good compliance standing with all rules, regulations, and policies Benefits - Training and professional development - Medical, dental and vision coverage (Available to full-time employees and their families) - Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses - Life and AD&D insurance – employer paid and voluntary options - Short-term and long-term disability, workers compensation – employer paid - 401k with match and profit sharing - Wellness programs and resources - Voluntary benefits, including pet insurance - 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service) - 12 paid holidays each year (10 pre-determined and 2 floating days) - Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure) - Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

• New Client Onboarding: Ensures accurate completion of prospect/new client paperwork/set up. • Follow up on funds transfer from surrendering company. • Maintains CRM-Salesforce database. • Research and follow up on any issues with the Broker/Dealer, Wealth Enhancement Group Operations, and vendors. • Record incoming assets to the appropriate blotting tool. • Client Relationship Management: Dialogues with client to understand their personal history and current financial needs. • Prepares account transactions, trades, deposits, withdrawals, RMDs, etc. • Communicates to understand client requests, determines what needs to be done; communicates to the advisor or handles issue resolution, includes death claim processing. • May work with client's tax or legal counsel on client concerns. • Client Review Prep and Follow Up: Gather client data and may prepare the materials for client meetings and reviews. • Conducts tax research (1099s). • Completes any follow-up needs for clients. • Industry/Company Knowledge: Demonstrates knowledge and can accurately execute against WEG's Suitability Guidelines, operational processes, and sales model. • Understands financial terminology and products. • Working proficiency with annuities, mutual funds, separately managed accounts, fixed income, stocks, options, alternative investments, hedge funds, and charitable giving practices. • Attends Client Services and company educational events. • Team and Corporate Support: Assists Advisor Team Operations to streamline processes. • Completes operational projects to support enhancements and changes. • Communicates process and sales updates to team.

• Own the successful processing and completion of account transitions and repapering from client signature through operational completion. • Manage account processing activities, transfers, custodial requirements, and completion milestones. • Own the successful completion of account servicing requests requiring WEG Supervision review, including oversight of work performed by Shared Services, validation of completed requests, and resolution of processing exceptions. • Proactively identify, manage, and resolve NIGO items and processing exceptions. • Track outstanding items and drive accounts to completion. • Coordinate project closeout activities and validate successful completion. • Perform reconciliations related to account transitions and repapering efforts. • Validate account setup accuracy and identify discrepancies requiring correction. • Perform quality control reviews of work completed by Shared Services, ensuring adherence to established procedures, accuracy standards, and service level expectations. • Monitor processing quality metrics and identify trends, risks, or recurring issues requiring escalation or remediation. • Ensure adherence to operational, custodial, and compliance requirements throughout the transition lifecycle. • Escalate operational risks, processing delays, and quality concerns as appropriate. • Research and resolve complex processing issues independently. • Drive stalled accounts to completion through proactive follow-up and stakeholder coordination. • Navigate ambiguity and changing priorities while maintaining project momentum. • Partner with Delivery & Logistics and Shared Services to identify recurring issues and process improvements. • Contribute to documentation, standard operating procedures, and training materials. • Support implementation of automation, workflow enhancements, and operational best practices.

• Manage complex, high-volume calendars aligned to strategic priorities. • Orchestrate leadership cadence (staff meetings, 1:1s, product reviews, offsites, board prep). • Prepare decision-ready materials (agendas, pre-reads, presentations) and track follow-ups. • Draft and edit executive communications and internal messaging. • Coordinate travel, expenses, and day-to-day executive operations with precision. • Coordinate cross-functional initiatives across Product, Wealth Solutions, and Operations. • Track milestones, risks, and dependencies; proactively resolve issues. • Maintain visibility into key priorities through dashboards and reporting. • Provide perspective on continuous process improvements to increase efficiency and accountability. • Partner with Product, Advisor Services, Finance, Compliance, IT, and Operations. • Align stakeholders on priorities, deliverables, and timelines. • Support onboarding coordination and internal communications across CCS. • Assist in execution of firm-wide and CCS-specific initiatives. • Lead logistics for leadership meetings, offsites, and external engagements. • Ensure high-quality hybrid meeting execution (technology, materials, coordination). • Support advisor/client events and leadership forums. • Coordinate board materials and meeting preparation as needed. • Oversee administrative workflows, vendor coordination, and executive operations. • Introduce scalable processes, tools, and automation (reporting, communications, onboarding). • Maintain strong organization, documentation, and follow-through. • Improve visibility, efficiency, and consistency across CCS processes. • Coordinate administrative support resources and establish execution standards. • Promote responsiveness, professionalism, and service excellence. • Foster a culture of accountability, detail orientation, and continuous improvement.

• Lead the development and articulation of the deal thesis for potential acquisitions by directing valuation analyses and synthesizing financial, strategic, and operational insights. • Establish target valuation ranges, recommend deal structures, and identify key negotiation levers to inform investment committee decisions and maximize value creation. • Manage day-to-day execution across the full M&A lifecycle, from initial pitch through closing. • Drive deal strategy, coordinate cross-functional due diligence, and manage both internal stakeholders and external advisors. • Lead negotiations with targets and counterparties, proactively address issues, and ensure transactions progress efficiently and align with strategic and financial goals. • Partner with legal counsel to review, negotiate, and finalize transaction documents, maintaining alignment across all parties through closing and handoff to integration. • Drive executive and governance engagement throughout the deal process, including preparation and delivery of materials for the Board and internal stakeholders. • Ensure alignment across senior leadership regarding key risks, tradeoffs, and decisions. • Communicate deal rationale, key assumptions, and value creation opportunities, adapting messaging for various stakeholder needs. • Collaborate with integration leaders to define integration priorities, synergy plans, and transition strategies to ensure seamless post-close value realization.

• Partner with UHNW Relationship Managers, Financial Advisors, product teams, and operations partners to support bespoke UHNW client needs • Serve as the primary operational and performance reporting lead for complex UHNW client relationships, including multi-entity households, trusts, partnerships, foundations, closely held assets, alternative investments, and personal accounts • Deliver high-touch internal support for time-sensitive, client-impacting requests • Perform detailed analysis of investment performance data • Lead the design, implementation, and ongoing refinement of scalable UHNW performance reporting frameworks • Create and maintain highly customized reports, including consolidated performance, entity-level reporting, net worth summaries, and asset allocation views • Build and enhance reporting templates tailored to UHNW clients and evolving client needs • Design, test, and refine reporting structures within Orion, including workflows for handling complex, multi-entity, and alternative investment data • Identify system limitations and develop creative, manual, or interim solutions to deliver accurate and timely reporting • Troubleshoot performance discrepancies and collaborate with internal teams to resolve issues • Educate advisors on performance calculations, benchmarks, and reporting methodologies • Oversee setup and maintenance of alternative investments and manually maintained accounts within Orion and related systems • Convert valuation and transaction data into portfolio accounting system templates • Support development of repeatable processes for incorporating alternative and illiquid investments into reporting outputs • Play a central role in building and evolving the UHNW operations and reporting function, including defining best practices, workflows, and scalable processes

Role Description We have an exciting opportunity for a Facilities Specialist ! This position plans and manages the space planning needs in WEG’s corporate and branch offices. Primary functions include: - Facility project planning; expansion and renovation management - Plan, coordinate and oversee new branch build outs and openings - Plan, coordinate and oversee branch office relocations/expansions/renovations - Project post implementation review on facilities projects - Support and improve branch office space utilization efficiency - Establish processes and communications on facilities activities - Implement brand standards for acquisitions, expansions and renovations - Serve as point of contact for facility access system management - Oversee media storage - Document facility related processes and procedures - Coordinate/assist with other projects identified by Facilities Director This is a fully remote position. In the spirit of pay transparency, we are excited to share the base salary range for this position is $80,000.00 to $85,000.00 , exclusive of bonuses and benefits. This role is also eligible for an annual bonus. Qualifications - PMP certification, preferred with 3+ years facilities planning or project management experience - Excellent oral and written communication skills - Excellent organization and problem solving skills - Ability to prioritize work flow and projects - Strong attention to detail - Ability to lead and direct the work of others - Familiar with a variety of the field's concepts, practices, and procedures - Expertise with Microsoft Office and other software as required - Travel required Requirements - Supervise construction, equipment installation, renovation and redesigning projects ensuring that timing, costs and contract requirements are met - Provide recommendations to senior management for design changes, equipment specifications/substitutions, purchasing and accounting procedures Benefits - Training and professional development - Medical, dental and vision coverage (Available to full-time employees and their families) - Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) - Life and AD&D insurance – employer paid and voluntary options - Short-term and long-term disability, workers compensation – employer paid - 401k with match and profit sharing - Wellness programs and resources - Voluntary benefits, including pet insurance - 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service) - 12 paid holidays each year (10 pre-determined and 2 floating days) - Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure) - Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

• Support the Financial Advisor with the creation of customized financial plans • Organize client’s financial documentation and information as necessary • Provide an accurate summary of clients’ personal information, current financial position, and asset allocation • Review and summarize insurance details • Review and summarize estate plan details • Review and summarize tax returns details • Create financial planning reports/analyses utilizing MoneyGuide Pro, eMoney, Morningstar and other planning tools • Communicate directly with the Advisor and/or client to obtain additional information and ask questions regarding the financial plan • Identify areas of opportunity and coordinate specific recommendations with the Financial Advisor and Advanced Planning peers. • Complete Financial Plan for delivery to client • Record notes and pertinent details in Salesforce regarding client communications, inquiries, and actions related to the planning request as necessary • Participate in Financial Plan presentations and reviews as necessary to present planning concepts and analyses to the client • Provide technical planning expertise and support • Participate in the research and response of general technical planning inquiries from Advisors and other team members • Provide subject matter expertise (SME) & support • Proactively share expertise and knowledge via various forums • Support the Team with the creation and/or maintenance of Advisor and Client resources and collaterals • Identify resource requirements and details • Research and identify necessary data and incorporate as necessary • Format in clean, professional manner for review and approval by applicable parties • Support team and company initiatives and participate in WEGs “all sharing” collaborative culture. • Participate in the planning and implementation of corporate/team initiatives • Attend and participate in Micro-Monday sessions and other company meetings • Provide timely responses to questions • Contribute positively to problem solving • Provide Training support to peers and new team members

Role Description We have an exciting opportunity for a Supervision Analyst! The Supervision Analyst will have primary responsibility to lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. This is a fully remote position. In the spirit of pay transparency, we are excited to share the base salary range for this position is $80,000.00 to $90,000.00, exclusive of bonuses and benefits. This role is also eligible for an annual corporate bonus. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one. Primary Job Functions - Have thorough understanding of firm’s policies and procedures and be able to communicate them to others. - Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes. - Monitor, report, and enforce internal controls to ensure compliance. - Participate in training and presentations to new acquisition teams related to the Supervision team and Compliance policies. - Contribute topics and assist in the development of Best Practices communications for Connections. - Review new business and trade alerts on a daily basis to ensure completeness and compliance with firm’s policies and provide principal approval (or resolve deficiencies) where appropriate. - Conduct thorough, timely, and effective reviews of transactional business and activities. - Build and maintain positive working relationships with advisors, grounded in trust and respect. - Monitor and follow up on outstanding tasks on a timely basis. - Escalate issues to Supervision Manager as necessary. - Have thorough understanding of workflows and queues related to Supervision team. - Ensure Salesforce business review queue and trade alert queues are current. - Monitor and follow up on Salesforce QC reports to identify business that was not submitted properly. - Collaborate with other members of the Supervision team regarding trends, case studies, regulatory/product changes, or escalations. - Attend weekly team meetings. - Attend monthly Compliance department meetings. - Other projects and/or delegation of OSJ duties as required. - Review advisor email and client correspondence. - Review client refund and trade error cases. - Review Help-General support cases. Qualifications - Bachelor's degree (or equivalent experience) in business; finance, economics or related field. - Minimum of 4 years in Financial Services. - FINRA Series 7, 66 (or 63 & 65), 24 required. - FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire. - Insurance license (life, health/accident, variable lines of authority) required or ability to obtain within first year of hire. - Superior verbal and written communication skills. - Proficient with Microsoft Office Suite or related software. Benefits - Training and professional development. - Medical, dental and vision coverage (Available to full-time employees and their families). - Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses. - Life and AD&D insurance – employer paid and voluntary options. - Short-term and long-term disability, workers compensation – employer paid. - 401k with match and profit sharing. - Wellness programs and resources. - Voluntary benefits, including pet insurance. - 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service). - 12 paid holidays each year (10 pre-determined and 2 floating days). - Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure). - Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements).

• Develop and execute internal communication strategies tailored to advisor needs. • Align messaging with corporate objectives and advisor engagement goals. • Collaborate with leadership to prioritize and schedule communications. • Serve as the operational owner of the advisor communications calendar, ensuring communications are coordinated and executed effectively across departments. • Own the execution of recurring advisor communications, including weekly newsletters, leadership updates, meeting communications, and other advisor-facing messaging. • Coordinate and execute weekly advisor webinar presentations, including agenda development, speaker preparation, content review, logistics, and follow-up communications. • Manage communication timelines and deadlines to ensure initiatives are delivered accurately and on schedule. • Drive communications projects from concept through completion, balancing multiple priorities and stakeholders. • Anticipate communication needs and proactively develop materials supporting advisor teams during periods of change, growth, or critical initiatives. • Create, edit, manage, and distribute high-quality content, including newsletters, announcements, FAQs, talking points, and presentations. • Translate complex financial or operational updates into clear, advisor-friendly language. • Maintain a consistent tone and voice across all advisor-facing materials. • Serve as the primary point of contact between corporate departments (such as Marketing, Compliance, Product, and Operations) and advisor teams. • Facilitate the flow of information and determine the best cadence, channel, and message to ensure advisors are informed of key initiatives, changes, and opportunities. • Gather feedback from advisors and relay insights to corporate stakeholders. • Maintain and enhance a systematic communication approval process. • Evaluate and enhance communication channels (e.g., website, email platforms, CRM) and innovative technology solutions. • Leverage AI tools to increase content speed, ensure consistency, surface new ideas, and streamline recurring communication processes. • Implement best practices for message delivery, frequency, and format. • Monitor communication effectiveness and recommend improvements based on data and feedback. • Support advisor onboarding and ongoing education through communication initiatives. • Coordinate with training and development teams to ensure alignment of messaging. • Promote advisor participation in firm-wide initiatives, events, and programs. • All other duties as assigned.