Manage a client caseload as the primary contact, delivering testing results and ensuring timely filing of 5500s. Consult with clients and advisors to resolve compliance issues and develop long-term professional relationships.
Cetera
12 Remote Job Openings at Cetera
The analyst will review retail communications to ensure compliance with state and federal laws, FINRA, and SEC regulations. Responsibilities include researching advertising materials, coordinating with regulatory bodies, and maintaining internal compliance manuals.
Review retail communications to ensure compliance with state and federal laws, including FINRA and SEC rules. Coordinate with regulatory bodies and internal subject matter experts to maintain compliance standards and internal manuals.
Develop sophisticated wealth strategies for high-net-worth clients by integrating tax, estate, and risk management frameworks. Collaborate with affiliated advisors and internal teams to deliver holistic financial solutions and drive asset growth.
Mentor and support financial advisors in building relationships with financial institutions like banks and credit unions. Manage the full sales cycle and execute engagement plans to drive organic growth and asset adoption.
Review retail communications to ensure compliance with firm policy, FINRA, and SEC rules. Maintain internal compliance materials and provide concise explanations for required changes to submitters.
Review retail communications to ensure compliance with firm policies, FINRA, and SEC regulations. Maintain internal compliance materials and provide concise feedback to submitters regarding necessary changes.
The manager is responsible for recruiting growth-oriented Financial Advisors by presenting the firm's wealth management model. This includes developing leads, managing the recruitment pipeline, and negotiating offers within the West Region.
The consultant will manage strategic business planning and relationships with financial institution executive teams to drive growth and wealth management program success. They will serve as an accountability partner, designing tailored business plans and identifying value-add opportunities to enhance client experience and wallet share.
Lead a Regional Growth Team to achieve sales goals and manage advisor relationships. Drive organic growth and ensure effective execution of engagement plans and sales pipelines.
This role is responsible for leading the Business Development process by driving the recruitment of Financial Advisors and Accounting Firms, acting as the primary point of contact to articulate and sell CFG’s business model. Key duties include developing leads, creating territory recruiting plans, meeting recruitment goals, and negotiating offers with prospective Financial Advisors.
This role is responsible for leading the Business Development process by driving the recruitment of Financial Advisors into CFG’s network of Broker-Dealers, requiring the manager to present and represent CFG as the wealth management firm of choice. Key duties include developing leads, creating a recruiting plan, meeting recruitment goals, articulating the business model, and negotiating offers with prospective advisors.
