Cnect

Consultant

• Serve as the primary owner of advisor relationships, guiding them through the Cetera value proposition experience across the advisor life cycle.
• Develop and execute comprehensive financial sales cycle engagement plans, managing the sales funnel and pipeline from initial discovery to completion.
• Drive organic growth, satisfaction, and retention of advisors by ensuring their successful implementation of Cetera’s financial platforms, solutions, and coaching programs.
• Lead strategic client segmentation efforts, identifying and prioritizing key financial institutions and advisor partnerships to optimize business opportunities.
• Collaborate with business development, onboarding, and sales enablement teams to accelerate verified asset adoption within defined timeframes.
• Actively facilitate advisor connections with subject matter experts to enhance investment solution adoption, financial planning strategies, and wealth management offerings.
• Strengthening relationships with financial institutions and advisors through tailored coaching, providing strategic insights and best practices for long-term success.
• Ensure seamless advisor support and resolution in partnership with the Service Escalation Specialist, reinforcing trust and efficiency in wealth management operations.

Wealth Management Consultant – Northeast Region

Operations

• Configure and manage Smarsh email retention settings for the Channel Operations team
• Maintain and oversee Smarsh access for Supervision teams
• Develop ad hoc and customized reports for credit unions, banks, and field teams
• Troubleshoot and resolve Salesforce cases, including case setup and follow-through

Operations Specialist

Administration

• Maintain responsibility of client caseload management
• Deliver testing results and year end packages to clients. Make sure any compliance corrections are completed timely and 5500s are signed and filed timely
• Track data received/not received from clients and follow up accordingly
• Consult with clients, advisors and other parties on plan related issues to develop long-term relationships.

Retirement Plan Administration Consultant

Solutions Engineer

• Leadership & Collaborate with internal teams.
• Build strong relationships with our affiliated advisors, APT teammates, internal business partners, and specialists by fostering collaboration.
• Follow up with fellow APT members to ensure that all advisor requests and issues are promptly addressed, and interaction details are properly documented and shared internally.
• Monitor work to ensure compliance with goals and standards.
• Build rapport and maintain deep relationships with affiliated financial professionals (“FPs”).
• Influence FPs to lead with a formal Financial Plan to better serve affluent investors.
• Host and conduct discovery, facilitate data entry for analysis, provide commentary, and make recommendations.
• Provide effective and concise communication of financial concepts to FPs and their investors.
• Respond timely to inbound FPs requests for help to maintain service level agreements, assess urgency and impact, then prioritize and re-prioritize tasks, as required.
• Proactively initiate verbal and written outbound correspondence to initiate new business development to grow assets under management.
• Partner with your coworkers, and colleagues from other teams, for collaborative successes.
• Serve as a liaison to various internal departments and product specialists (e.g., advisory, annuity, insurance, and alternative-solutions) to help ensure concerted accomplishments.
• Honor promises to FPs, follow through on commitments to internal stakeholders, be receptive to constructive dialogue to drive positive change, and learn from others, including the Senior APT Consultants.
• Aspire to servant leadership, focus on continuous self-improvement, and challenge the status quo.

Advanced Planning Solutions Consultant, Tax Channel

• Primary owner of the Tier 2 advisor relationship working with Cetera value proposition experience throughout the advisor life cycle.
• Responsible for developing & executing regular engagement plans and managing sales funnel / pipeline from discovery to completion.
• Fuel organic growth, engagement, satisfaction and retention of advisors through their adoption of Cetera growth tools, platforms and solutions.
• Work in collaboration with business development onboarding and sales enablement teams to ensure verified assets are realized on Cetera platform(s) within defined timeframes.
• Actively identify and/or create opportunities to connect the Advisor with subject matter experts to drive product adoption of investment solutions, advice offerings, and Cetera platforms.
• Ensure clear lines of support and resolution between the Advisor and other Cetera functions to ensure Advisor needs are being met through partnership with the Service Escalation Specialist.

Wealth Management Consultant, West Region

Data Analyst

• Develop a strong understanding of key performance indicators and revenue drivers.
• Build and maintain dashboards, reports, and analytics in Salesforce, Tableau, ThoughtSpot, Excel, Airtable, etc.
• Partner with cross-functional teams and executive leadership to ensure data integrity and process compliance.
• Develop forecasting models, pipeline analysis, and performance metrics to support leadership decisions.
• Support GTM planning, territory design, and quota setting with data-driven insights.
• Analyze and synthesize sales data, feedback from the field, and market trends into actionable insights and recommendations.
• Become a subject matter expert on current tools and technologies.
• Manage Salesforce enhancements impacting the Advisory business, including updating fields, building campaigns, workflows, reporting, and automation for GTM processes and salesperson efficiency/effectiveness; this may include a mix of directly making changes within business-side permission levels and representing the Advisory business in developing requirements with tech teams and/or other stakeholders.
• Collaborate with Advisory sales personnel and stakeholders to influence the adoption of Salesforce.
• Drive continuous improvement initiatives by identifying bottlenecks and recommending solutions.
• Collaborate with the Director and team to execute standard change-management procedures across Advisory Experience. Own day-to-day tactical communications (e.g., Advisory newsletter) and support knowledge management for Advisory Experience team.
• Maintain library of content such as training, sales collateral, and scripting as well as both executive and front-line facing presentation materials. Facilitate regular updates to content via collaboration with cross-functional SME partners.
• Manage on-time delivery of projects with multiple stakeholders.
• Assist leadership as needed on other business management initiatives.

Sales Operations & Analytics Manager

Sales Operations Manager

• Partner with the Head of Sales Enablement and team to develop and execute the Sales Enablement strategy and roadmap, while ensuring alignment with company objectives.
• Use analytics and reporting to identify insights, form action plans, and measure enablement impact.
• Work with Technology partners to optimize the enablement technology stack (Salesforce, sales engagement tools, etc.) and ensure adoption.
• Create and maintain sales/GTM playbooks, competitive intelligence, and messaging frameworks in partnership with Marketing and Product teams.
• Lead large cross-functional initiatives that drive change and improve sales productivity.
• Support Go-to-Market planning and execution in collaboration with Sales, Marketing, and Product teams.
• Design and deliver knowledge management and communications programs for Sales and GTM teams (aka “Specialty Sales & Solutions” teams) that allow them to access the information they need when they need it most.
• Oversee content management systems and ensure effective communication of enablement resources.
• Foster a culture of learning, adaptability, and continuous improvement across the sales organization. Stay highly connected to all Channels, Communities, and Specialty Sales & Solutions teams.

Senior Sales Enablement Manager

• Sales Support and Consulting: product and solution consulting, proposal generation, assist with preparation for point-of-sale client meetings, leverage and work with product sponsor’s field teams to support new sales, enrollment, ongoing education, etc.
• Retirement Plan Business Consulting: support for advisors' efforts to refine their service models, assistance with and advice on client segmentation and business efficiencies, practice manage tool optimization strategies, act as intermediary to respond to advisors' requests for new products and selling agreements, provide technical guidance or source referrals to advisors.
• Proactive Sales Campaigns: Document activity around outbound calls, scheduled meetings, virtual study groups, group webinars, etc. to promote retirement plan business growth and awareness of resources
• Fiduciary Programs: Manage the promotion of the ERISA Advice and Consulting Program and 3(38) Solution. Promote use in advisor discussions and consult with advisors on benefits for plan sponsors.
• Advisor Training and Education: Actively participate in industry conferences and seminars to remain current with retirement plan industry trends and provide insights to advisors.
• Conduct demos of tools and services for both existing and prospective advisors
• Productively work together and collaborate with internal partners such as Cetera’s in-house Third-Party Administrator and Regional Growth Teams.
• Assist advisors with issue resolution

Retirement Plan Solutions Consultant

• Work closely with operations to draft, edit and polish key operational communications.
• Work closely with key stakeholders to implement comprehensive communications strategies, plans, timelines and materials related to key initiatives.
• Ensure messaging meets the needs of intended audiences through positioning, appropriate use of business acumen, level of detail and delivery methods.
• Develop various forms of communications such as news and informational articles, job aids, quick reference guides, client correspondence, presentations and other content.
• Manage parallel requests in an organized fashion ensuring timely completion of each phase of the process.
• Perform activities involved in the preparation of communications, such as participation in team meetings, conferences and events, interviewing subject matter experts, and conducting research.
• Ensure that completed projects/materials are approved according to company processes and guidelines.
• Serve as backup and support to Manager, Communications and Change Management as needed.
• Complete other duties as assigned.

Operations Communication Specialist

Compliance

• Respond to and address inquiries from various business units and the field to ensure compliance with the applicable laws, regulations and firm policy and procedures.
• Manage and respond to inquiries coming into the general Compliance email and phone queues and SalesForce.
• Review and process client accommodations requested by field partners.
• Maintain and assist in the drafting of department Desktop Procedures.
• Review and acknowledge requests for Private Securities Transactions.
• Review Office Sharing arrangements for the BD.
• Identify and maintain risk areas for Firm Element training.
• Serve as Compliance resource for the Business Development team and conduct reviews on individuals seeking to affiliate with the BD.
• Assist in the performing of 3120 and ad hoc testing on specific compliance and BD functions.
• Assist in special projects as requested.

Compliance Analyst

Account Manager

• Develop and implement regional sales strategies to meet and exceed sales goals.
• Support, guide, and collaborate with a regional sales team to drive performance and growth.
• Build and maintain strong relationships with key distribution partners, producers, and advisors.
• Analyze market trends to identify new business opportunities and areas for growth.
• Provide training, support, and guidance on Life, Annuity, LTC, and DI concepts and products to the sales team and partners.
• Collaborate with internal departments to ensure seamless product delivery and advisor/producer satisfaction.

Regional Sales and Relationship Manager

• Build rapport and maintain deep relationships with affiliated financial professionals (“FPs”) and their HNW clients/investors.
• Influence FPs to lead with a formal Financial Plan to better serve affluent investors.
• Host and conduct discovery, facilitate data entry for analysis, provide commentary, and make recommendations.
• Provide effective and concise communication of financial concepts to FPs and their investors.
• Respond timely to inbound FPs requests for help to maintain service level agreements, assess urgency and impact, then prioritize and re-prioritize tasks, as required.
• Proactively initiate verbal and written outbound correspondence to initiate new business development to grow assets under management.
• Serve as a liaison to various internal departments and product specialists (e.g., advisory, annuity, insurance, and alternative-solutions) to help ensure concerted accomplishments.
• Honor promises to FPs, follow through on commitments to internal stakeholders, be receptive to constructive dialogue to drive positive change, and learn from others, including the Senior APT Consultants.
• Aspire to servant leadership, focus on continuous self-improvement, and challenge the status quo.
• Build strong relationships with our affiliated advisors, APT teammates, internal business partners, and specialists by fostering collaboration.
• Follow up with fellow APT members to ensure that all advisor requests and issues are promptly addressed, and interaction details are properly documented and shared internally.
• Monitor work to ensure compliance with goals and standards.
• Other duties as assigned.

Planning Solutions Consultant

• Draft and distribute press releases, pitches, and media statements; engage proactively with journalists and trade reporters; support both proactive and reactive media opportunities.
• Own the awards and rankings calendar, ensuring thoughtful submissions that highlight Cetera’s competitive differentiators.
• Develop bylined articles, executive quotes, op-eds, and speaking abstracts to position Cetera leaders as industry experts.
• Help manage day-to-day agency interactions, ensuring two-way accountability and high-quality output aligned with KPIs and deadlines.
• Partner with the social/digital team to amplify PR moments across owned channels.
• Collaborate with communications leadership on integration announcements.
• Support rapid response needs, including drafting holding statements, FAQs, and internal talking points.
• Track press coverage, awards, and share-of-voice metrics; provide regular reporting and insights to leadership.

Public Relations Manager

• Drive continuous process improvement to increase efficiency and improve client experience.
• Train new hires on procedures and software as needed.
• Mentor team members to promote career growth.
• Track the workflow for team members and maintain a smaller caseload of assigned plans for administration and compliance work.
• Serve as first point of escalation for team members regarding compliance issues or complaints.
• Conduct monthly one-on-one meetings with team members.
• Evaluate and improve operational procedures.
• Own and see issues through to resolution to ensure smooth client experience.

Supervisor, Retirement Plan Administration Consulting

• Act as Subject Matter Expert for product lines including annuities, mutual funds, 529s, alternative investments, structured products, and donor advised funds.
• Consult with advisors to deliver product guidance specific to client scenarios.
• Assist advisors with strategic sales ideas, prospecting techniques, and competitive product positioning.
• Provide unbiased product guidance and recommend best-in-class solutions and Partner Firm resources.
• Support advisor education on key investment challenges (e.g., secure income needs, college planning).
• Provide education through inbound/outbound phone activity, one-on-one consultations, webinars, presentations, and institution training opportunities.
• Track phone metrics, emails, and consultations to measure activity and question types.
• Provide leads to Wealth Management Consulting, Growth Officers, and Financial Planning teams when appropriate.
• Provide industry trend insights and support marketing and educational campaigns.
• Interface with partner firms and advocate for the resources, tools, services, and support provided to financial professionals.
• Perform other duties as assigned.

Product Solutions Consultant – Advisory

Account Executive

• Develop and grow business relationships with agencies and agents by acting as a subject matter expert on products and processes
• Grow and manage a consistent and continuous new business pipeline through building relationships, developing expertise, and educating agencies and agents on NFG Brokerage products and processes
• Establish, manage, and grow strong relationships with existing strategic accounts with large growth potential
• Provide product analysis, illustration, and case design, acting as a subject matter expert for business stakeholders
• Independently grow and develop dormant agencies/agents
• Recommend new products and features to agents and agencies, using knowledge of each account and its needs, markets, and goals
• Develop and collaborate on account specific strategies and marketing plans to deliver growth
• Onboard and educate new agents regarding NFG Brokerage products and processes
• Ensure ongoing communication about policy/agent activity with internal groups (sales teams, new business, contracting, etc.)

Field Sales Representative

Bookkeeper

• Implement, maintain, and review payroll systems to ensure accurate processing of salaries, benefits, garnishments, taxes, and deductions
• Ensure timely updates for new hires, terminations, pay rate changes, and other payroll-related transactions
• Prepare and maintain accurate payroll records and reports
• Ensure compliance with federal, state, and local payroll, wage, and hour laws
• Facilitate internal and external audits by providing necessary documentation
• Recommend and support updates to payroll systems and procedures
• Oversee daily operations and workflow of the payroll department
• Provide coaching, mentorship, and performance evaluations for payroll staff
• Serve as a subject matter expert for payroll-related inquiries and escalations
• Collaborate with HR and Benefits to ensure accurate leave and benefit deductions
• Partner with Finance for payroll reconciliations, accruals, and reporting
• Perform other duties as assigned

Payroll Supervisor

General Counsel

• Serve as a senior legal advisor providing strategic legal support to RIA and broker-dealer arms of the firm.
• Provide legal counsel on investment advisory services, brokerage operations, and financial product distribution.
• Advise senior leadership on regulatory developments, risk mitigation strategies, and legal implications of business initiatives.
• Ensure compliance with SEC, FINRA, and state securities laws and regulations.
• Interpret and implement changes in laws and regulations affecting RIA and broker-dealer operations.
• Draft, review, and negotiate client agreements, vendor contracts, and partnership arrangements.
• Collaborate with outside counsel and manage legal risks proactively.
• Support internal policy development.
• Supervise junior attorneys and legal staff.
• Partner with compliance, risk, and business units to develop integrated legal solutions.

Deputy General Counsel

Client Services Representative

• Support Financial Advisors (Registered Representatives) with running their day-to-day investment practice while enhancing customer service and experience.
• Work directly with Registered Representatives to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies.
• Act as a liaison between the registered representatives and their clients.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for presentations and appointments with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representative.
• Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs are met.
• Organize client events and follow up tasks.
• Maintain client records and retention management within corporate requirements.
• Conduct proactive outreach to clients and registered representatives on time sensitive activities (e.g., RMDs, Client’s Quarterly/Annual Reviews).
• Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure clients’ expectations for timely service delivery are met.
• Educate clients on account services, capabilities, and new technology.
• Complete required corporate training on new technologies and follow implementation guidelines.
• Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
• Work with Advisor(s) through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing, and client communication expectations and follow up processes.

• Oversees the development and execution of strategic initiatives that enhance platform capabilities and advisor satisfaction.
• Develop in depth understanding of the solution stack for RIA Blueprint, specifically custodial services, product shelf compliance requirements, and wealth management tools.
• Build a strategy to be competitive in the RIA space with the proposed product solutions and work collaboratively cross functionally to deliver determined solutions.
• Manage and track key projects, ensuring timely delivery and alignment with business goals.
• Analyze operational data to identify opportunities for improvement and innovation.
• Collaborate with product, technology, and service teams to streamline processes and support platform enhancements.
• Prepare executive-level reports and presentations to communicate progress, insights, and recommendations.
• Lead operational improvements to streamline processes, increase efficiency, and enhance the overall user experience.
• Foster a culture of innovation, collaboration, and excellence within the team.
• Align the team’s strategy, processes, and expectations to meet the needs of the business and advisors.