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 Compliance and Legal Support |
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Overall legal / compliance affiliate support |
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Chief Compliance Officer |
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Review and maintenance of compliance procedures, processes and policies |
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Conduct annual compliance review |
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Performance composite preparation and maintenance |
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Preparation of legal / regulatory documents including client agreements, |
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solicitation agreements and disclosure documents |
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Review and approval of marketing materials |
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Review and maintenance of ADV Part I & II |
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Regulatory filings |
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Human Resources Administration |
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Payroll setup and processing (online employee access) |
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Benefit enrollment and administration |
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Comprehensive health coverage |
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Dental & vision |
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Life and disability coverage |
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401(k) plan with matching, all administration |
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Flex spending accounts |
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Cafeteria plan |
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WealthTrust employee handbook |
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Financial Reporting |
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Accounts payable management and administration |
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General ledger |
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Tax return compilation |
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Monthly financial statements |
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Budgeting |
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Expense reimbursement administration |
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Operations |
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Advent Axys portfolio accounting software |
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Daily and/or monthly custodian reconciliation |
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Posting and reconciliation of corporate actions |
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Daily and/or monthly securities pricing |
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Daily activity reporting for portfolio manager review |
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Cost basis maintenance |
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Monthly time-weighted return performance calculation |
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Performance composite maintenance |
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Customized quarterly client reporting - printing and mailing |
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Quarterly reports packaged by household per your instructions |
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Archived copies of quarterly client reports |
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Account billing - includes family aggregate billing, assets exclusions, etc. |
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Proxy administration using your voting policies |
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Data backup - both Advent Axys data and remote backup of your server |
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Email account management and archiving |
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Marketing |
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Assist marketing plan development, ideas, etc. |
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Marketing materials development, design, and production management |
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Website design and integration, hosting and archiving |
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WealthTrust sales, and marketing meetings - training and education |
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PR coordination |
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Advertising design (periodicals, invitations, mailings, sponsorships) |
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Affiliate and industry best practice communication |
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Cross selling services, client services ad solution enhancement |
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(investment and non-investment) |
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102 Woodmont Boulevard