Cnect

Solutions Engineer

• 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

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

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

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.

Operations

• 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.

Product Solutions Consultant – Advisory

Payroll Supervisor

Field Sales Representative

Deputy General Counsel

Client Services Representative

RIA Operations Director