Cnect

Growth Marketing

• Accountable for leading a Regional Growth Team and its delivery of results against sales goals and organic growth value line KPIs.
• Responsible for the direct management and delivery of role accountabilities through the growth team.
• Responsible for driving sales through the funnel from discovery to completion and leading the Regional Growth Team in developing and ensuring the execution of regular engagement plans and the management of the sales pipelines.
• Primary owner of assigned advisor relationships working with Cetera value proposition experience throughout the advisor life cycle.
• Responsible for the development and deployment of Cetera-sponsored study groups for advisors.
• Manage the team in fueling organic growth, engagement, advisor satisfaction, and advisor retention through key value proposition engagements and relationship management, including advisor 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.

Senior Manager, Regional Growth

Insurance

• Drive Revenue & Adoption
• Lead insurance revenue growth initiatives and increase advisor utilization of life, long‑term care, and disability insurance within holistic financial planning.
• Champion the integration of risk management solutions into advisor practices.
• Design, implement, and execute sales campaigns aligned with firmwide strategic priorities.
• Define and maintain a strong insurance opportunity pipeline in partnership with internal teams and external carriers.
• Deliver and coordinate impactful sales training for advisors through national conferences, regional meetings, onboarding programs, and other forums.
• Translate complex insurance concepts into clear, actionable guidance for advisors.
• Partner with Regional Growth Teams, Advanced Planning, Recruiting, and NFG Brokerage to accelerate insurance adoption and sales effectiveness.
• Collaborate with insurance carrier sales teams to enhance solution awareness, positioning, and usage across the advisor base.
• Review and understand due diligence materials for life, long‑term care, and disability insurance solutions offered on the Cetera risk management platform.
• Serve as a liaison to the Due Diligence team, supporting ongoing monitoring of carrier strength, stability, and competitiveness.
• Lead, coach, and develop a team of five experienced insurance sales specialists.
• Drive accountability to individual KPIs, support professional development, and foster a high‑performance, high‑engagement team culture.

Manager, Insurance Sales

Sales

• Respond promptly and professionally to inbound inquiries from potential customers via email, phone, chat, and other communication channels.
• Manage intake & qualification of leads to determine fit from our inbound channels (Search firms & Referrals) based on their level of interest, budget, timeline, and fit with our offerings.
• Deliver a “consultative” approach to selling; partner with the lead referring source to understand the prospect’s business, their goals, objectives, and challenges before recommending a route and ensure all info is captured to continue nurturing and profile build on the prospect
• Route prospects to the Business Development team to assist in solving problems and driving value.
• Cultivates & provides education on areas of interest for under-informed prospects and sell in value proposition.
• Utilize CRM (Customer Relationship Management) systems and sales tools to track interactions, update lead statuses, and prioritize follow-up activities
• Maintain Data quality and consistency across lead management systems
• Provide ongoing support and assistance to prospects throughout the sales process, addressing any questions or concerns they may have.
• Document all prospect interactions, activities, and outcomes accurately and comprehensively in CRM software or other sales tools and maintain Data quality and consistency across lead management systems
• Continuously learn about industry trends, market developments, and competitor strategies

Demand Center Inbound Sales Specialist

Marketing

• Lead marketing strategy, planning, and execution for the RIA and Branches channel.
• Own the end-to-end CPP rebrand, from positioning and identity through digital, client communications, collateral, advisor enablement, signage, and launch execution.
• Build a scalable, tested marketing framework that can be applied across multiple RIAs, including demand generation, local marketing, digital presence, content, and advisor engagement.
• Build and optimize the RIA channel lead generation engine across paid media, SEO/AEO, content, events, partner programs, and referral/advocacy programs.
• Partner with Salesforce, analytics, technology teams, and other cross-functional teams to strengthen attribution, funnel visibility, and performance reporting (e.g., site → lead → booked appt → AUM).
• Evaluate channel performance using CAC, LTV, set rate, conversion rate, and AUM contribution; use insights to prioritize and scale high-ROI channels.
• Oversee testing and performance optimization across Google, Meta, LinkedIn, webinars, local marketing infrastructure, etc.
• Develop and scale advisor-focused marketing toolkits, campaigns, workflows, and playbooks to support local growth in each RIA office or market.
• Lead training, adoption programs, and 1:1 consultations with advisors to improve execution across SEO, Google Business profiles, paid media, events, and digital presence.
• Build mechanisms to support advisor micro-events, reviews, referral programs, and conversion enablement.
• Oversee development and distribution of channel-specific content in partnership with Comms Team(s): guides, calculators, webinars, videos, leadership commentary, advisor bios, and persona-based funnels.
• Ensure alignment between RIA-specific brand narratives, CPP’s growth vision, and corporate Cetera positioning.
• Build a data-driven decisioning approach for channel performance—in partnership with analytics—including dashboards, KPI frameworks, reporting standards, and quarterly business reviews.
• Use CAC, channel ROI, and attribution to guide budget allocation and channel prioritization.
• Translate data insights into action plans, recommendations, and strategic adjustments.
• Develop and manage a high-performing team (growing over time) with capabilities across paid media, content, analytics, and advisor marketing.
• Partner closely with RIA and Branches Channel and Community leadership, advisors, technology, analytics, Salesforce, compliance, and corporate marketing teams to ensure smooth execution and unified growth strategy.
• Manage vendor relationships, agency partners, and platform solutions aligned to channel growth objectives.
• Support integration and onboarding of new RIAs, including brand alignment, digital presence, local marketing, lead gen activation, and advisor engagement.
• Lead marketing due diligence inputs and transition planning for future acquisitions.

Director, RIA Marketing

Compliance

• Conduct upfront and ongoing due diligence on insurance products, including but not limited to:
• Life insurance (term, whole, universal life)
• Variable and fixed annuities
• Fixed indexed annuities
• Long-term care and hybrid products
• Disability insurance
• Perform carrier-level due diligence, including:
• Financial strength and ratings analysis
• Review of statutory filings and public disclosures
• Evaluation of governance, risk management, and operational controls
• Review and assess materials from third-party due diligence providers, regulatory bodies, and rating agencies.
• Analyze product structures, fees, surrender charges, riders, guarantees, illustrations, and disclosures for compliance with regulatory and firm standards.
• Monitor regulatory developments impacting insurance products (e.g., state insurance regulations, NAIC model regulations, suitability and best interest standards).
• Summarize due diligence findings in clear, concise written reports for presentation to internal product, compliance, and risk committees.
• Identify, document, and escalate emerging risks or issues related to existing insurance products or carriers.
• Partner with internal stakeholders (Compliance, Legal, Product Management, Risk, and Advisor Support) to support product governance initiatives.
• Respond to inquiries from advisors and internal partners regarding approved insurance products and historical offerings.
• Participate in periodic product reviews, audits, and remediation efforts as needed.
• Attend industry meetings, regulatory briefings, and conferences to remain current on insurance market and compliance trends.
• Participate in periodic reviews of unique life insurance and annuity cases.

Senior Compliance Analyst – Due Diligence

Director

• Oversee and Enhance Product Due Diligence Processes
• Conduct Product Research and Analysis
• Monitor Ongoing Product Shelf Quality
• Conduct Operational and Regulatory Due Diligence
• Ensure Regulatory Compliance & Risk Management
• Governance & Committee Leadership
• Strategic Product Portfolio Management
• Cross‑Functional Collaboration & Advisor Support
• Reporting & Documentation
• Leadership & Talent Development

Director, Due Diligence

• Conduct compliance examinations of securities brokerage and advisory branch offices
• Approximately 90% of exams are performed remotely
• Up to 40% domestic travel may be required as business needs evolve
• Identify, research, and investigate potential audit exceptions
• Lead opening and closing meetings with branch personnel and leadership
• Prepare clear, well‑organized audit reports and supporting documentation
• Collaborate with Audit Managers and team members to improve processes, drive efficiencies, and enhance exam quality
• Apply regulatory knowledge to real‑world business scenarios with sound judgment and professionalism

Compliance Analyst – Branch Exams

Consultant

• Responsible for building and executing practice transformation playbook(s).
• Define, build and execute a Practice Transformation Concierge Process that includes engagement with pre-affiliation, onboarding and advisory support teams.
• Responsible for tracking success stories and reporting on results and outcomes of practice transformation engagements and implementations with advisors.
• Partner closely with Financial Planning & Analysis and CBA teams to create & deliver practice transformation and transition assistance offers.
• Responsible for identifying opportunities to improve the engagement and execution model.
• Responsible for executing successful implementation and partner hand-offs of practice transformation plans.
• Other duties as assigned.

Practice Transformation Consultant

Recruitment

• Work with team members to identify recruiting opportunities and build pipelines.
• Work with Channel Business Development team members to evaluate prospective advisers about risk, reward and viability.
• Responsible for managing the engagement in, and the proper execution, of CBA processes and programs for the Channel.
• Responsible for holding Business Development team accountable for pipeline management, execution of key activities and role mandates and delivery of recruiting goals as measured by Business Development KPIs.
• Directs, establishes, and implements priorities, performance goals and objectives.

Channel Recruiting Leader

• Support CPAs and tax professionals by assisting with administrative tasks that keep engagements organized and on track
• Interact with clients professionally, helping collect documents, answer basic questions, and ensure a smooth service experience
• Scan, organize, and process tax documents and returns, following established procedures and maintaining confidentiality
• Assist with delivery of completed returns, including preparing e-filing packets and coordinating secure transmission of final documents
• Use discretion within defined guidelines to prioritize tasks and maintain workflow efficiency
• Maintain internal systems and records, ensuring client files, checklists, and tracking tools are accurate and up to date
• Contribute to team operations, offering feedback and ideas that support process improvements and client service
• Collaborate with tax and wealth teams, helping ensure administrative processes align with broader client goals
• Demonstrate professionalism and reliability, contributing to a positive team culture and supporting senior team members as needed

Tax Relationship Management Associate

• Prepare federal, state, and local tax returns for individuals, trusts, estates, partnerships, and closely held businesses under the guidance of senior team members
• Assist with tax research, applying foundational knowledge to support client-specific issues and document findings for review
• Support tax planning efforts, helping identify opportunities and contributing to strategy development alongside experienced professionals
• Collaborate with clients and internal teams to gather necessary information and ensure accurate and timely filings
• Exercise professional judgment in applying tax concepts and identifying potential issues for escalation
• Participate in client meetings and internal planning sessions, gaining exposure to advisory conversations and learning from experienced team members
• Stay current on tax law changes, engaging in continuing education and leveraging firm resources to build technical expertise
• Contribute to process improvements, offering ideas and feedback that support team efficiency and client service
• Support a collaborative team culture, working closely with tax and wealth professionals to deliver integrated client solutions

Tax Associate

Account Manager

• Setting and driving strategic direction for assigned retirement plans
• Building and maintaining strong relationships with plan decision makers
• Serving as liaison between 3rd party partners (recordkeepers, third party administrators and financial professionals) and home office
• Providing fiduciary guidance to plan administrators
• Planning and conducting executive and investment/market plan reviews – both on-site and virtually
• Facilitating discussions with plan administrators and decision makers regarding plan design, plan issue resolution, and legal/regulatory issues
• Driving plan participation and overall plan contributions through plan design and participant education solutions
• Differentiating Cetera’s retirement plan solutions to drive client retention
• Assist the sales team with new business opportunities and participating in sales presentations
• Cross sell Cetera solutions and services
• Travel Requirements: Up to 50%

Strategic Relationship Manager

Manager

• Lead comprehensive initial and ongoing due diligence for alternative investment products, including private equity, private credit, interval funds, non-traded REITs/BDCs, hedge funds, and structured solutions.
• Evaluate investment managers, strategy merits, risk factors, operational processes, financial strength, and historical performance.
• Produce high-quality due diligence reports, recommendations, and risk assessments for internal committees and executive stakeholders.
• Present findings and recommendations to internal product oversight committees and senior leadership.
• Develop and maintain monitoring frameworks for existing products, including performance reviews, sponsor financial assessments, operational risk reviews, and industry benchmarking.
• Identify emerging risks and ensure timely escalation of issues or adverse developments.
• Ensure all alternative products remain aligned with the firm’s governance, policies, and suitability standards.
• Stay current on regulatory developments affecting alternative investments (FINRA, SEC, DOL, state regulations).
• Partner with Compliance and Legal teams to ensure product structures, marketing materials, and selling agreements meet regulatory and firm standards.
• Support audits, regulatory inquiries, and internal control testing related to alternative investments.
• Serve as primary point of contact with alternative investment sponsors and third-party due diligence providers.
• Negotiate and manage product onboarding requirements, data needs, and service-level expectations.
• Represent the firm professionally in external due diligence meetings, site visits, and industry events.
• Partner with product management, advisor support, sales teams, and investment research to implement and maintain the alternative platform.

Senior Manager, Due Diligence

• Lead, hire, train, motivate, and retain licensed employees across designated locations.
• Drive sales results by monitoring production, coaching advisors, and supporting licensed/unlicensed staff with goal setting, performance feedback, and sales strategies.
• Develop and oversee program performance targets, including revenue goals, service standards, quality metrics, compliance adherence, and budget management.
• Partner closely with broker dealer partners, internal staff, and cross functional business units to reinforce program value and support education around investment services.
• Ensure full adherence to all State, Federal, and regulatory requirements governing securities and insurance products.
• Provide ongoing compliance training and communication to all financial advisors and licensed/unlicensed employees.
• Conduct periodic reviews of policies, procedures, and compliance safeguards to maintain regulatory integrity.
• Maintain required OSJ records and perform ongoing due diligence reviews of all investment products offered through the program.
• Ensure clients receive accurate, transparent information regarding product features, risks, and suitability.
• Oversee the consistency and quality of all program communication materials to align with sound financial principles.
• Establish, track, and improve customer satisfaction measures to ensure an exceptional client experience across all program touchpoints.

Senior Manager, Regional Growth

Manager, Insurance Sales

Demand Center Inbound Sales Specialist

Director, RIA Marketing

Senior Compliance Analyst – Due Diligence

Director, Due Diligence

Compliance Analyst – Branch Exams

Practice Transformation Consultant

Channel Recruiting Leader

Tax Relationship Management Associate

Tax Associate

Tax Relationship Management Associate

Strategic Relationship Manager

Senior Manager, Due Diligence

Senior Manager, Rep-on-Demand Team