Cnect

• Lead assigned operational initiatives from planning through execution, ensuring alignment with department goals
• Analyze workflows and recommend improvements that support scalability, accuracy, and service consistency
• Collaborate with managers and team leads to implement process enhancements across tax operations
• Contribute to the development and refinement of internal documentation, including SOPs, templates, and training materials
• Assist in evaluating and optimizing tax technology platforms and operational tools
• Monitor performance data and provide insights to support strategic decision-making
• Participate in cross-functional projects that integrate tax operations with other departments
• Support change management efforts by communicating updates and helping teams adopt new processes
• Apply discretion and independent judgment in resolving operational challenges and prioritizing tasks

Tax Operations Lead, Senior Associate

Client Services Representative

• Act as a liaison between the registered representatives and their clients while following FINRA guidelines and limitations due to licensing requirements.
• Prepare and complete client paperwork and follow-up tasks to support registered representatives.
• Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs.
• Maintain an organized filing system following compliance guidelines along with a process for registered representatives to support clients' and prospects current and future needs.
• Leverage e-sign whenever possible.
• Utilize the Annuity Search Tool, DP Maintenance, and Items for Attention to insure deepening the book of business based on client needs, opportunities, and a clean paperwork flow.
• Maintain compliance guidelines, and client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
• Processing client distributions – both qualified and non-qualified.
• Distributing mail and faxes.
• Provide backup and support to other assistants as needed.

• Act as a liaison between the registered representatives and their clients while following FINRA guidelines as a registered sales assistant.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointment with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representative.
• Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, but at no time suggest sales or purchase strategies nor recommendations to a client or prospect and never act as the registered representative on any client account.
• Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs.
• Set client financial review meetings based on client service level agreement & prepare follow up meetings based on needs.
• Organize Client events and follow up tasks.
• Maintain an organized filing system following compliance guidelines.
• 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 through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing and client communication expectations and follow up processes.

Senior Client Services Representative

Operations

• Lead and manage a Brokerage Operations team to ensure processes, guidelines and WSP requirements are achieved
• Ensure adherence to regulatory rules
• Experience leading brokerage back-office functions
• Working knowledge of operational aspects of Finance, Accounting, Client Account Transfers, Mutual Funds and Investor Communications
• Identify process issues/concerns, analyze issues and provide insightful and timely recommendations for improvement
• Ensure all employees understand and achieve SLAs and Quality standards
• Act as a liaison with external vendors as well as internal departments
• Identify, interview and hire candidates for open positions
• Partner with the training coordinator to identify key skills required for all new employees
• Contribute to and cultivate a culture of compliance
• Monitor and enforce policies/procedures with all business units
• Provide development and daily task coaching

Operations Manager

Director

• Define and own the Referral Utility vision and strategy, including objectives, scope, and success metrics.
• Build and implement the referral framework, integrating with existing channels and programs.
• Partner with Growth, Marketing, and business leaders to align lead generation, referral velocity, and campaigns.
• Develop strategies to increase referrals from CPA affiliates, professional networks, and bank partnerships.
• Activate referral opportunities within Cetera’s retirement plan participant base.
• Coordinate with Operations, Compliance, and Service teams to ensure smooth execution and regulatory adherence.
• Design incentive structures and goal-setting frameworks to drive adoption and performance.
• Track and report referral metrics through Quarterly Business Reviews; analyze performance and optimize.
• Serve as subject matter expert on referral best practices, compliance, and scalability.
• Drive measurable growth in qualified leads, conversion rates, and AUA/AUM inflows.
• Oversee CRM reporting and ensure data integrity, transparency, and timely dashboards.
• Lead and develop a high-performing team; coach advisors on referral best practices.
• Foster a culture of accountability, collaboration, and client impact consistent with One Cetera values.
• Champion inclusion, challenge processes, and leverage data-driven decision-making to improve efficiency.
• Ensure risk controls, governance, and compliance throughout the referral lifecycle.
• Allocate resources effectively and mobilize organizational capabilities to deliver the full range of Cetera solutions.

Managing Director, Referral Programs

Field Engineer

• Lead, mentor, and develop a high-performing API and Data Services Engineering team.
• Foster a culture of ownership, reliability, and continuous improvement.
• Establish clear performance expectations and support career development for team members.
• Oversee the design and implementation of API-first data access patterns (REST, GraphQL) for operational and analytical use cases.
• Lead the development of data services that expose canonical data the Cetera modernized event-driven data platform in a secure, performant, and consumable manner.
• Implement caching and performance optimization strategies to meet low-latency access requirements without duplicating data logic.
• Enforce contract-driven access patterns to ensure consistent schemas, versioning, and backward compatibility.
• Leverage AWS streaming technologies (e.g., Kinesis, Kafka on AWS) to enable real-time data processing, particularly for broker-dealer and wealth management transactions.
• Implement and manage role-based access control (RBAC) and entitlement-aware data access.
• Ensure APIs and data services comply with security, privacy, and regulatory requirements.
• Partner with Data Governance and Architecture teams to ensure consistent enforcement of enterprise standards.
• Plan, prioritize, and manage multiple API engineering projects to ensure timely and within-budget delivery.
• Collaborate with cross-functional teams to gather requirements specific to financial services, including regulatory and compliance needs.
• Serve as the primary point of contact for data access and distribution capabilities.
• Own the reliability and performance of business-critical 24x7 data services supporting near-real-time and batch workloads.
• Establish monitoring, alerting, and incident management processes for APIs and caching layers.
• Ensure SLAs, availability targets, and performance benchmarks are consistently met.

Senior Manager – API and Data Service Engineering

Data Engineer

• Design, build, and maintain ingestion, standardization, match/merge preparation, and golden-record distribution pipelines that support Profisee and Snowflake MDM workflows.
• Develop and optimize batch, micro-batch, and real-time/streaming pipelines using AWS services (MSK/ Kafka, Lambda, Step Functions, S3, Glue) that support near real-time golden-record updates.
• Build robust pipelines to feed the feedback loop from Profisee golden records to downstream systems (e.g., operational apps, Snowflake EDW, integration layer, domain APIs).
• Transform source-system attributes into canonical MDM domain-aligned schemas using Iceberg, or engineered transformations.
• Implement and maintain Profisee ingestion patterns, including entity configuration, match/merge logic, survivorship rule execution, and data validation pipelines.
• Build automated flows to promote golden records from Profisee into Snowflake and publish attribute changes to downstream platforms.
• Support MDM model changes by developing scalable pipelines that adapt to schema evolution and new mastered attributes.
• Partner with MDM Analysts and Data Stewards to translate governance rules into executable engineering logic.
• Implement data quality rule enforcement (completeness, conformity, integrity, consistency) as part of MDM pipelines using tools such as Great Expectations/Soda/Deequ or native SQL rules.
• Contribute to MDM metadata management, lineage capture, and integration with enterprise catalogs.
• Apply best practices for referential integrity, survivorship, deduplication, hierarchy management, and domain alignment.
• Establish reusable patterns for onboarding new MDM sources or domains.
• Partner with ingestion, integrated, and access layer engineering teams to ensure MDM-produced golden data is correctly consumed and traceable end-to-end.
• Work with Security, IAM, and DevOps to ensure secure, scalable delivery of MDM workloads.
• Provide technical guidance to junior engineers and serve as a subject-matter SME for MDM pipeline development.
• Contribute to Agile ceremonies, sprint planning, backlog refinement, and peer design reviews.
• Ensure MDM jobs, both batch and streaming meet SLAs.
• Support MDM incident triage, match conflicts, rule tuning, and schema evolution.
• Contribute to playbooks, runbooks, onboarding guides, and stewardship documentation.
• Monitor and continuously improve data quality and operational efficiency.
• Stay current with emerging technologies and industry trends to drive innovation and best practices.

Senior MDM Data Engineer

Compliance

• 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.
• Assists 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.
• Assists in researching and responding to customer and/or producer inquiries about compliance issues.
• Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
• Strives 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

• Provide high-level operational, customer service, and administrative support in our Clearing Services department.
• Be responsible for daily processing of work associated with the department. This may include journal entries, account processing, payment solutions, etc.
• Respond to telephone/email/chat or written correspondence inquiries from internal and external customers including registered representatives regarding account status, account changes and process.
• Perform research as requested on customer accounts.
• Partner with other team members to ensure financial professionals experience consistent, high-quality customer service.
• Comply with processes and procedures of the team and regulatory requirements.
• Responsible for mid to high level escalations partnering with department leadership to resolve issues with clients / Advisors.
• Train and mentor other Senior/Operations Professionals
• Manage workflow and productivity of the team, escalating to Leadership as necessary.
• Maintain department documentation
• Know how to access written supervisory procedures (WSPs) for the teams and processes supported
• Act as a Subject Matter Expert for the department
• Other duties as assigned.

Operations Professional

Public Relations

• Support high-visibility writing projects
• Write press releases, media pitches, and statements tied to real business initiatives.
• Develop confidence writing in a fast-paced, regulated environment where clarity and accuracy matter.
• Manage multiple assignments at once, with support from experienced communications leaders who help you prioritize and improve your work.
• Build your media and storytelling skills
• Support proactive and reactive media opportunities with national and industry trade press.
• Learn how to work with journalists, respond to media needs, and think about stories from the reporter’s point of view.
• Lead awards & recognition efforts
• Own the awards and rankings calendar end-to-end—from identifying opportunities to crafting submissions.
• Turn business results into compelling stories that help position Cetera as a leader in the wealth management industry.
• Gain exposure across teams as you gather insights and elevate others’ work.
• Collaborate and learn from experts
• Draft and adapt social media content to amplify press coverage and awards.
• Work closely with external PR agencies and internal partners while learning how campaigns are planned, executed, and measured.
• Partner with social and digital teams to amplify key moments across owned channels.
• Track results and learn what works
• Help monitor media coverage, awards wins, and share-of-voice metrics.

Public Relations Specialist

• 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 registered representative presentations and appointment 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.

Accountant

• Participate in monthly closing process, including journal entries, financial statements and related variance/account analysis, with a primary focus on Avantax Planning Partners and Avantax Tax Practices
• Perform daily/periodic cash entries, cash clearing and coordinate with business partner to resolve cash variances
• Record and monitor recurring and ad hoc accruals to ensure expenses and revenues are recognized in the appropriate period
• Perform ongoing accounts receivable tracking and reconciliation and work closely with the operation teams to compare records, investigate variances and resolve outstanding items
• Prepare, review and maintain balance sheet reconciliations, and address any reconciling items in a timely manner
• Support quarterly and year-end financial reporting and audit
• Assist with integration activities associated with Avantax Tax Practices mergers & acquisitions
• Analyze current procedures and recommend changes to develop and implement best practice accounting procedures
• Continuously work to enhance the internal control framework. Ensure timely execution of controls
• Partner with other teams/departments on ad hoc requests as determined by management

• 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.

Tax Professional

• Determine and publish content through the appropriate channel(s) (e.g. AdviceWorks, MarketingCentral, Cetera.com, social media, etc), following individual tasks through to completion.
• Leveraging expertise of compliance and industry knowledge to draft content for broad communications.
• Coordinate with Marketing and Compliance on the creation of disclosures and other content.
• Improve and update processes and procedures as they change for the Investment Research team.
• Secure approvals for communication materials according to company processes and guidelines.
• Assist the team in managing the third-party research platform.
• Publish quarterly reports, analyses, presentations, and other research materials for advisors and their clients.
• Manage menus and databases and serve as the first line of contact with advisors.
• Proactively identify issues and solutions, and work collaboratively across business lines as needed to resolve.
• Learn, use and support various financial products, software and systems.
• Assist in other investment research and administrative activities as required.

Operations Specialist

Marketing

• Oversee management and execution of GrowthLine program in partnership with peers. Evaluate opportunities to further amplify program and advisor/client experience. Build in highly differentiated & personalized elements, when available, and ensure program stays fresh with unique offerings, establishing competitive edge.
• Lead GrowthLine program in partnership with peers, including planning, strategy, process improvements, advisor comms, and directing all activity with advisors and their teams, cross functional business partners, and oversight of vendor and agency partners.
• Conduct research to analyze competitive landscape, market trends and customer behavior to inform evolution of program.
• Support your manager, Head of Advisor Marketing, in establishing and evaluating advisor marketing strategy and plan by analyzing KPIs, managing various projects and organizing and planning promotional presentations.
• Prepare and deliver presentations to various audiences, as needed.
• Lead ad hoc projects and initiatives that bring about change and grow the business.
• Manage and/or liaise with key digital media partners, vendors, and other agencies, as needed or requested by manager.
• Lead 1:1 consultation reviews of digital presence audits to provide guidance on recommended action items across SEO, website, and social media as well as overall marketing strategy.
• Key marketing liaison for high priority groups of advisors including training, project management, marketing consultations, and support.
• Identify growth marketing opportunities for individual advisor businesses from needs-based discovery.
• Start-to-finish support and project oversight for multiple offices at one time, based on growth paths identified.
• Work closely with cross-functional teams, assigned business owners and other functions across the enterprise, as needed or requested by manager.
• Develop email and social media content for advisor marketing platform, as needed, in partnership with advisor marketing team. Support content uploads into platform and auditing as necessary to ensure an optimized experience for all users.
• Participation in advisor consults, presentations to prospective advisors, and firm-specific/regional meetings.
• Independently prioritize and accomplish multiple tasks in accordance with business needs to ensure timely execution.
• Implementation and management of new programs or scaling test programs.
• Management and review of various marketing programs and tools.
• Rollout, transition or migration to new tech solutions.
• Review and negotiation of vendor contracts, as requested by manager.
• Provide ongoing and ad hoc reporting on performance of programs, initiatives, and tools.
• Become a power user in advisor marketing platform and/or other tools and tech. Bring new tools and suggestions to improve advisor experience and drive growth.
• Involvement and tasks, as requested, for M&A projects.
• Other duties and responsibilities may be added, deleted or changed at any time at the discretion of management, formally or informally, either verbally or in writing.

Tax Operations Lead, Senior Associate

Client Services Representative

Senior Client Services Representative

Operations Manager

Managing Director, Referral Programs

Senior Manager – API and Data Service Engineering

Senior MDM Data Engineer

Compliance Analyst – Advertising Review

Operations Professional

Public Relations Specialist

Client Services Representative

Accountant

Tax Professional

Operations Specialist

Senior Manager, Advisor Marketing