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Solutions Engineer

• 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

• Preparation of federal and state income tax returns for individuals, partnerships, corporations, and trusts.
• Review and analysis of tax laws and regulations to ensure compliance with government regulations.
• Apply functional knowledge to understand potential tax issues and participate in tax planning.
• Assist with identifying and implementing tax savings strategies for clients.
• Communicate with clients to gather necessary information and to explain tax laws and regulations.
• Work independently and as part of a multi-disciplinary team on both non-recurring and ongoing projects.
• Train junior Tax Associates in preparing tax returns for clients based on accepted company standards.
• Develop and revise company processes and procedures to ensure a consistent client experience and achievement of predetermined SLA.
• Monitor Key Performance Indicators for Tax business and coach team members to greater achievement.
• Develop and edit correspondence (IRS or otherwise), memoranda, and other client deliverables as needed.
• Client Bookkeeping and payroll as needed.
• Continuous learning to keep up to date with changes in tax laws and regulations.
• Partner with Avantax Planning Partner FPCs and FSAs to identify Wealth Management opportunities.
• Other job duties as defined.

Senior Tax Associate – PT

Operations

• 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

Digital Marketing

• Own the end-to-end web analytics function for cetera.com, serving as the day-to-day authority on site performance, traffic quality, and user behavior.
• Monitor site health and funnel performance in real time—surfacing drops, anomalies, and emerging opportunities before they become problems or missed moments.
• Maintain and evolve the GA4 implementation across cetera.com, ensuring tracking accuracy, complete event coverage, and clean data as the site modernization progresses.
• Build and own a self-service analytics layer that empowers the digital team to access core performance data without dependency on a centralized ops queue.
• Lead the CRO program for cetera.com—designing and executing A/B and multivariate tests across landing pages, CTAs, forms, and advisor journey touchpoints.
• Build a structured experimentation roadmap informed by behavioral data, session recordings, heatmaps, and qualitative user feedback.
• Own the CPP (Client Profile Page or equivalent) architecture analytics—measuring engagement, conversion contribution, and iteration performance as the product evolves.
• Partner with UX, content, and engineering teams to translate test findings into implemented improvements with measured lift.
• Own the analytics and performance measurement layer for Cetera’s SEO and Answer Engine Optimization (AEO) strategy, tracking rankings, organic visibility, CTR, and content-driven conversion.
• Build reporting frameworks that capture both traditional SEO metrics (impressions, position, organic sessions) and AEO-specific signals (featured snippet capture, AI-cited content performance, zero-click presence).

Senior Digital Marketing, Analytics Manager

Compliance

• Review retail communication against applicable laws, firm policy, and regulations.
• Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.
• Ensure your reviews are meeting record retention requirements.
• Research policy questions in the provided firm manuals and additional resources
• Ensure compliance with firm policy by doing the following:
• Strive for consistency of your reviews on an ongoing basis
• Assist in maintaining internal compliance materials such as manuals and reference material
• Understand workflow processes for different vendors
• Assist other analysts and work as a member of team to complete assignments
• Complete assignments within the service level agreement timeframes
• Other duties as assigned.

Senior Compliance Analyst – Advertising Review

Affiliate Manager

• Be a driving force to execute CPA firm’s wealth management strategic vision, business plans, growth and retention strategies in conjunction with Affiliate Development Director and Territory Director.
• Collaborate with firm and Financial Planning Consultants on wealth management SWOT assessments, goal setting, priorities/plans and recommended growth strategies.
• Assist CPA firms in growing their wealth management business through discovery, creation of goals/priorities, promoting business strategies, driving best practices, identifying client opportunities, coaching on client approach. Asses, diagnose and present best practices & solutions to firms.
• Responsible for firm growth including number of CPA firm producers and firm penetration. Plays critical role in achieving net new asset targets for assigned firms.
• Communicates wealth management/financial planning strategies and ideas for successful introductions to the CPA firm’s clients.
• Hosts regular educational sessions on their own or with other partners to inform CPAs on broad wealth management/planning topics.
• Tracks and reports prospect and pipeline activity in CRM, to supervisor, financial planning consultants, CPA firm leadership and other leaders.
• Conduct regular communication with firm leaders on progress and accountability, holding CPA firm accountable to results

Affiliate Growth Consultant

Insurance

• Drive Advisor Adoption & Growth
• Lead the expansion of life, LTC, and disability solutions by helping advisors confidently integrate insurance into client strategies and planning conversations.
• Deliver High-Value Case Design
• Analyze existing policies, identify gaps, and design tailored insurance solutions that align with client needs and long-term financial goals.
• Be a Trusted Advisor to Advisors
• Provide actionable guidance, illustrations, and insights that help advisors position insurance effectively with clients.
• Elevate Advisor Capability
• Deliver engaging training sessions at conferences and regional events, helping advisors build confidence and deepen product knowledge.
• Collaborate Across the Firm
• Partner with Regional Growth Teams, Advanced Planning, Community Leaders, and Nelson Financial Group (NFG) to drive coordinated sales strategies and better client outcomes.
• Strengthen IMO and Carrier Partnerships
• Work closely with insurance carriers to enhance product utilization, streamline case execution, and improve advisor experience.
• Support Sales Execution
• Provide tools, marketing resources, and responsive support to move cases forward from initial concept through implementation.

Senior Insurance Sales Specialist

Account Executive

• Develop and execute a disciplined sales strategy within your territory to build and retain advisor relationships by providing consultative retirement plan design sales support.
• Retirement Plan Design Preparation and Consulting: Defined Contribution and Defined Benefit plan design consulting, proposal and feasibility study generation and presentation.
• Responsible for meeting or exceeding annual revenue goals.
• Be the external face of CRPS in your territory to nurture partnerships with financial advisors.
• Ability to establish and maintain a steady sales pipeline in your assigned territory.
• An in-depth, comprehensive understanding of the retirement plan space with relationships and plan design knowledge in the assigned territory
• Team player mentality and ability to interface with other departments to drive our common goals
• Polished sales skills for presenting to financial advisors and clients
• Represent the team at national meetings or conferences, including public speaking, running panel discussions or other opportunities.
• 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 3(16) Fiduciary Plan Administrative services. Promote use in advisor discussions and consult with advisors on benefits for plan sponsors.
• Assist advisors with issue resolution
• Travel to conferences and advisor locations for site visits (up to 50%)

Senior TPA Sales Consultant

Social Media Manager

• Supports the Foundation’s digital strategy to increase donor engagement and philanthropic revenue.
• Executes and manages key digital channels—including email, website content, SEO/SEM, social media, and analytics.
• Partners with Foundation teams, IU Health Marketing, vendors, and internal stakeholders to support integrated campaigns.
• Creates and delivers compelling digital content that advances the Foundation’s mission.
• Coordinates cross-channel content and maintains an editorial calendar.
• Refines content strategies to grow reach and engagement using performance data and platform insights.
• Supports the planning, production, and management of video and photography assets.

Donor Communications Officer – Digital and Social Media Marketer

Financial Planning and Analysis

• Prepare and review new account paperwork in an accurate and timely manner.
• Organize and prepare client review materials, meeting agendas, weekly meeting updates, etc.
• Serve as a liaison between internal departments to resolve outstanding issues for Financial Planning Consultants (FPCs), Certified Public Accountants (CPAs), and clients.
• Assist FPCs with ongoing CPA, client, and prospect communication (e.g., the status of new and existing accounts, birthday reminders, cards, and letters).
• Update and maintain the Client Relationship Management (CRM) database (e.g., data entry, service requests, communication records).
• Process client requests regarding new contributions and distribution of funds.
• Communicate regularly with clients through phone and email to provide expedient and accurate information to FPCs and CPAs. These interactions include coordination of meetings, maintenance of account records, important documents, new account setup, transfer of assets, online client access, etc.
• Assist in training other Financial Service Assistants as needed.
• Recommend areas for process and procedure improvement to improve office efficiency.
• Perform other duties as assigned.

Financial Support Associate

Product Marketing

• Assess the marketing needs of specific Wealth Management business lines to achieve desired outcomes.
• Develop, direct, and execute strategic B2B marketing plans and campaigns aligned with the goals of our Wealth Management initiatives, focusing on driving advisor adoption of wealth management solutions and fee-based assets onto Cetera’s platform.
• Develop and manage relationships with third parties for copywriting, design, and strategy execution.
• Drive development and accentuation of unique value propositions while incorporating brand and marketing messages appropriately to drive outsized growth.
• Represent the viewpoints of the Wealth Management leadership team, financial advisor, and end client throughout the content creation and strategic planning process with internal partners.
• Track and measure the effectiveness of implemented marketing plans and campaigns, adjusting as needed to maximize engagement and adoption.
• Develop, review, and revise content and messaging to help with targeted sales and education efforts.
• Other duties as defined.

Senior Product Marketing Specialist

• Manage day-to-day activities of the Broker Dealer Compliance team, including responding to Compliance inquiries from the field, pre-hire onboarding reviews, reviewing escalated items from Supervision, Surveillance, Branch Exams, etc., and disciplinary matters
• Coordinate policy and procedures updates with other Deputy CCOs, Supervision, and Compliance Shared Services to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure policy and procedure consistency, in general, across the Cetera firms.
• Ensure that the business model for financial professionals in the Financial Institutions and Cetera Investors channels are considered when discussing new policies and procedures, projects, and implementation dates.
• Participate in testing and risk monitoring programs, including testing performed under FINRA Rule 3120, and assist in the development of remediation plans to address any findings in accordance with regulatory expectations and best practices.
• Provide recommendations to the business regarding the implementation of new rules and regulations.
• Work with senior management, legal department, human resources, Regional Growth Team, Registered Representatives and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations.
• Be a subject matter expert when dealing directly with advisors on a variety of compliance, regulatory and business/industry topics.
• Partner effectively with financial advisors along with internal departments such as Operations, Information Technology, Finance, Supervision and Business Department to advance initiatives.

Deputy Chief Compliance Officer, Broker Dealer Compliance

• Build and maintain deep relationships and rapport with affiliate CPA firms.
• Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
• Partner with Client Development Specialists who create plans for the CPAs to identify leads, and opportunities for existing clients and prospective clients.
• Develop Investment Policy Statements with CPAs and clients, and determine client needs and appropriate solutions.
• Coordinate paperwork with the support of the Financial Service Assistant to open new accounts.
• Meet with clients and CPAs as needed to present proposed solutions, complete paperwork, and follow through on processes.
• Provide reports to clients, CPAs, and CFG in a timely and accurate manner.
• Develop profitable new business relationships through client reviews, with a focus on gathering assets under management and selling appropriate insurance products.
• Initiate proactive calls daily, to prospects, and existing clients to initiate new business development and grow assets under management.
• Provide analysis to company CPAs on investment, insurance, and annuity products as needed.
• Provide effective communication of financial concepts to clients and make recommendations.
• Maintain knowledge of industry developments and changes.
• Conduct workshops for clients as prospecting and servicing tools.
• Work toward continuous quality improvement.
• Stay current with changing technology, including software and financial programs.
• Uphold, support, and promote all company policies and procedures.

Associate Financial Planner, Tax Channel

• Review retail communication against applicable laws and regulations.
• Interpret impact of laws on new and existing retail communication.
• Communicate changes and important issues to affected business unit, field, and customers.
• Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.
• Assist in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials.
• Correspond with applicable regulatory bodies for clarification of advertising regulations as needed.
• Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA.
• Assist in researching and responding to customer and/or producer inquiries about compliance issues.
• Manage subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strive for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
• Assist in maintaining internal compliance materials such as manuals, reference material, reports and website.
• Other duties as assigned.

Compliance Analyst – Advertising Review

Accountant

• Assist in the monthly closing process, including preparation of journal entries, financial statements, and related variance and account analysis
• Maintain balance sheet schedules, prepare balance sheet reconciliations, and resolve reconciling items in a timely manner
• Support quarterly and year-end financial reporting and audit deliverables for assigned broker-dealers and consolidated entities
• Administer and maintain Broker/Rep loan details across the organization
• Compile loan documents in preparation for funding
• Record loan related activity to the general ledger (fundings, payments, reserves)
• Manage outbound correspondence, including preparing and mailing letters to clients and advisors
• Follow up on outstanding balances and support collections efforts in a timely manner
• Maintain organized records of account activity, communications, and payment status
• Provide administrative and documentation support to the Legal team as needed
• Support other functions (e.g., FP&A, Technical Accounting) with requests and projects
• Perform ad hoc duties as assigned by management