Cnect

Marketing Operations

• Serve as the primary owner and administrator of Marketo, Adobe Experience Cloud, and related integrations, ensuring platform health, governance, and continuous optimization.
• Lead the roadmap for MarTech stack expansion, including evaluation and onboarding of AI-powered tools and emerging automation capabilities.
• Maintain documentation of system architecture, integrations, data flows, and operational processes.
• Architect, build, and optimize end-to-end email marketing journeys and nurture programs within Marketo and Salesforce Marketing Cloud.
• Design and implement automated workflows that support lead lifecycle management, segmentation, scoring, and routing.
• Partner with Demand Gen and Content teams to translate campaign strategies into scalable, personalized automation programs.
• Own deliverability, compliance (CAN-SPAM/CASL), and list hygiene practices across all email platforms.
• Own and optimize the Marketo–Salesforce CRM integration, ensuring reliable data sync, field mapping accuracy, and bi-directional data integrity.
• Collaborate with Sales Operations and IT to troubleshoot integration issues, implement enhancements, and support new use cases.
• Define and enforce data governance standards across connected platforms.
• Identify, evaluate, and implement AI-powered marketing tools that improve content personalization, campaign optimization, and operational efficiency.
• Develop workflows and enablement resources to drive AI tool adoption across the marketing team.
• Stay current on the rapidly evolving AI/MarTech landscape and bring forward-looking recommendations to marketing leadership.
• Define and track KPIs across the MarTech stack, delivering regular performance insights to marketing leadership.
• Partner with Analytics to build dashboards that connect marketing technology performance to pipeline and revenue outcomes.
• Lead ongoing A/B testing and experimentation programs to improve campaign performance and platform utilization.
• Act as the internal MarTech subject matter expert—training team members, advising on best practices, and supporting campaign execution teams.
• Support the cetera.com modernization initiative with marketing technology requirements, tracking implementation, and platform alignment.
• Manage vendor relationships, contracts, and renewals for MarTech platforms in partnership with Procurement and Finance.

Senior Marketing Technology Manager

Financial Planning and Analysis

• Responsible for placing trades, raising cash for distribution requests and implementation of the intended investment strategy.
• Review accounts on a weekly basis for opportunities to tax harvest, rebalance, allocate cash and replenish cash.
• Utilize trading platforms and software to execute orders efficiently.
• Manage and optimize trading portfolios while adhering to risk and compliance guidelines.
• Stay informed about industry trends, regulations, and developments that may impact the trading environment.
• Act swiftly and decisively in response to changing market conditions or portfolio changes.
• Work with Investment Manager to evaluate changes in process or systems to increase efficiency and impact to the company.
• Communicate with company’s wealth managers and client service staff regarding trade-related activity.

Investment Specialist

Events

• Independently delivers a broad range of philanthropy services functions.
• Supports donor engagement, operational effectiveness, and program execution.
• Leads strategy, planning, and execution of a portfolio of foundation events.
• Manages end-to-end event logistics including vendor coordination, catering, invitations, RSVP tracking, and budget development.
• Collaborates closely with foundation leadership, development teams, and system partners.

Philanthropy Services Officer – Intermediate, Cultivation and Engagement Events

Compliance

• Conduct thorough reviews of each applicant, including background reports, internet searches, disclosure history, and all other available information sources.
• Identify regulatory concerns, issues prohibited by firm policy, and other risk factors that may impact the applicant’s affiliation.
• Develop and submit targeted questions to stakeholders to clarify discrepancies, address concerns, and obtain missing information.
• Analyze responses to determine overall risk level and recommend appropriate next steps.
• Prepare Outside Business Activity (OBA) acknowledgment letters and generate detailed regulatory filing instructions.
• Review Office Sharing arrangements for new applicants to ensure alignment with regulatory and firm requirements.
• Apply strong critical-thinking and sound judgment when evaluating complex information or ambiguous situations.
• Collaborate with external and internal partners to ensure regulatory and firm expectations and requirements are clearly communicated and consistently met.
• Document findings, decisions, and rationale in accordance with firm policies and regulatory standards.
• Provide secondary review for regulatory responses to ensure accuracy, completeness, and consistency.
• Identify and maintain key risk areas to support the development and enhancement of compliance training and improvements to systems related to onboarding review.
• Deliver occasional training to internal and external partners on compliance topics related to onboarding and applicant review.
• Input cases, documentation, and decisions into firm-approved tools and systems with accuracy and timeliness.
• Stay informed on new regulations, policies, technologies, and associated compliance implications to support proactive risk identification.
• Participate in project work as assigned to support department initiatives and enhance compliance processes, included but not limited to large recruiting deals and acquisitions.
• Assist with phone calls received through the Compliance Inbox.
• Respond to and address general inquiries from external and internal partners to ensure compliance with applicable laws, regulations, and firm policies and procedures.

Compliance Analyst – Broker Dealer

• Develop and maintain positive and productive working partnerships with stakeholders and regulatory personnel.
• Partner with firm-level Compliance, Supervision, and business line management teams to guide remediation plans for examination findings and draft formal written responses to examination reports
• Complete the collection, analysis, and delivery of data, documents, and other information to regulators, including thinking critically about the nature of requests to identify underlying purposes and potential risks presented.
• Maintain awareness of regulatory activities and industry developments to identify trends and emerging issues that may have an impact on Cetera’s business.
• Other duties as assigned.

Senior Compliance Analyst – Regulatory Exams

Operations

• Own and operationalize the enterprise DQ framework in close collaboration with Data Architecture and Data Trust, ensuring alignment across standards, definitions, and operational processes.
• Partner with business stakeholders, Data Architecture, Data Trust, IT, and Analytics to define and implement business data quality rules that support enterprise data models and downstream consumption.
• Lead remediation processes and enforce SLAs, working with data owners and upstream teams to resolve issues at the source and prevent recurrence.
• Run a proactive data quality improvement program, focused on identifying systemic issues, resolving root causes, and preventing recurrence.
• Oversee DQ monitoring, scorecards, and issue transparency across priority domains and systems.
• Partner on cross-functional quality initiatives (e.g., sponsor data feed quality programs) to improve upstream and third party data quality.
• Lead MDM operations as an integrated component of the broader data quality and data trust ecosystem, ensuring that mastered data aligns with enterprise models, definitions, and business ownership.
• Partner with Data Architecture to ensure MDM rules, hierarchies, and workflows support consistent, scalable data structures across the integrated data platform.
• Lead MDM operations, including stewardship workflows, mastering rules, and lifecycle management.
• Define and oversee match/merge and survivorship logic, hierarchies, and validation rules that ensure mastered data is accurate, consistent, and usable.
• Work closely with Data Trust and business data owners to ensure stewardship workflows reflect agreed ownership, definitions, and accountability.
• Enable and support business users and data stewards in effectively working with mastered data.
• Build, lead, and scale a DQ and MDM Operations team, establishing clear operating rhythms, prioritization, and performance measures for data operations.
• Act as a senior point of escalation for critical data quality and mastering issues impacting reporting, analytics, and business operations.

Director, Data Quality – Master Data Management Operations

• Conduct exams of securities brokerage and advisory branch offices (up to 50% domestic travel)
• Investigate potential audit exceptions
• Conduct opening and closing interviews/meetings with branch personnel
• Prepare reports
• Collaborate with the team members and Audit Managers to streamline processes and create efficiencies for the department

Compliance Analyst – Branch Exams

• Assist the Operations Manager in daily management, coordinating activities and priorities.
• Support the Operations Manager with the enforcement of company policies and standards.
• Perform administrative tasks, including maintaining records, and setting up new investment accounts.
• Manage and maintain broker-dealer custodial account software, such as Schwab Advisor Center, Fidelity Wealthscape, and others.
• Monitor and update CRM system to ensure accurate and up-to-date information.
• Maintain schedules of operations and ensure adherence to deadlines, including billing client accounts.
• Cooperate with different departments to facilitate smooth communication and collaboration.

Operations Projects Associate

Sales

• Promote NFG Brokerage and the annuity solutions available through NFG to current and prospective financial professionals.
• Serve as subject matter expert for the different annuity product lines supported by the team consisting of, Fixed, Indexed, and Registered-Index Linked Annuities.
• Consult with advisors to deliver product guidance and suitability insights tailored to specific client scenarios.
• Assist advisors with strategic sales ideas and competitive product positioning and provide advisors with guidance as to best-in-class solutions and resources from our partnering carriers.
• Support advisor education on key investment challenges, including asset protection and retirement security.
• Provide market trend insights, contribute to marketing and educational initiatives, and deliver presentations via inbound/outbound calls, webinars, and one-on-one consultations.
• Advocate for the resources, tools, services, and support we provide our financial professionals.
• Perform additional duties as assigned.

Annuity Sales Specialist

Project Manager

• Provides comprehensive project management support to Project Managers, leaders, and cross‑functional team members within the Information Services – Project Management Office.
• Supports medium to large, complex strategic initiatives, including clinical technology implementations within construction and expansion projects, clinical application integrations, and projects aligned with the Academic Health Center.
• Assists with project planning and execution, maintaining detailed project documentation, tracking tasks, timelines, budgets, purchase orders, and invoices, and supporting the development of project reporting and status updates.
• Plays a key role in scheduling and facilitating clinical design sessions across multiple sites and departments, ensuring alignment and timely delivery of key milestones.
• Offers significant exposure to enterprise-wide projects and provides a development pathway toward future Project Management opportunities.

Project Coordinator, Information Services

Business Development Rep

• Develop leads and build relationships with prospective Financial Advisors. through professional yet persistent, ongoing contact.
• Create a recruiting plan for your territory.
• Accountable for meeting recruitment goals.
• Serve as the primary point of contact with Financial Advisors, articulate and sell our business model and the benefits of affiliating with CFG.
• Use your discretion in evaluating an advisor’s fit for CFG through knowledge of their book of business and other interactions with the advisor.
• Deliver business presentations to prospective advisors and provide consultative support on CFG services, products, and technology.
• Negotiate and close offers to Financial Advisors by comparing our independent brokerage model to the advisor’s existing compensation structure.
• Capture recruiting activity throughout the Business Development pipeline using tools including but not limited to Salesforce and Excel.
• Participate in outbound social media and call campaigns related to Business Development.
• Work with cross-functional teams to support ongoing solution development and execution of recruiting process enhancements.

Regional Business Development Manager – West Region

Client Services Representative

• 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.

• Own and manage end‑to‑end operational workflows supporting product due‑diligence reviews, approvals, renewals, and ongoing monitoring.
• Ensure due‑diligence processes are executed consistently in accordance with internal policies, supervisory procedures, and regulatory requirements.
• Coordinate intake, prioritization, and tracking of new product requests and material product changes.
• Maintain operational readiness for audits, exams, and internal reviews by ensuring documentation, evidence, and approvals are complete and accessible.
• Identify opportunities to streamline workflows, improve cycle times, and enhance transparency across due‑diligence activities.
• Develop, maintain, and enhance standard operating procedures (SOPs), controls, and operational playbooks.
• Partner with stakeholders to implement scalable solutions as product complexity, volume, or regulatory expectations evolve.
• Support technology enablement efforts, including workflow tools, data repositories, and reporting platforms.
• Review and respond to requests regarding product agreements/availability from auditors (both internal and external) and regulators.
• Track and report operational risks, process gaps, and remediation efforts related to product due diligence.
• Help manage the pipeline of requested product approvals.
• Develop and maintain dashboards, KPIs, and management reporting related to due‑diligence volume, turnaround times, exceptions, and trends.

Due Diligence Operations Manager

• 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.
• May assist in onboarding and training of new team members.

Client Services Lead

Analyst

• In this role, you’ll support strategic engagement efforts by:
• Assisting with coordination and execution of engagement activities, events, and initiatives
• Helping maintain engagement materials, calendars, and shared tools
• Supporting collaboration across teams such as Sales Enablement, Communications, and Marketing
• Preparing reports, summaries, and insights that help teams understand what’s working and where to improve
• Tracking activities and outcomes to improve visibility and consistency
• You’ll work closely with senior team members, gaining exposure to enterprise‑level initiatives while building strong foundational skills.