The Compliance Analyst conducts audits of broker-dealer and advisory branch offices to ensure adherence to FINRA, SEC, and firm regulatory requirements. They are responsible for identifying audit exceptions, leading branch meetings, and preparing detailed audit reports while collaborating with leadership to improve processes.
The Internal Business Development Consultant will attract and recruit independent financial professionals to the firm's network while managing recruitment pipelines. They will collaborate with external recruiters to generate leads, conduct candidate evaluations, and create sales enablement materials.
The manager will oversee advertising compliance policies and ensure all marketing materials adhere to FINRA and SEC regulations. They will also lead a team of compliance professionals and collaborate with cross-functional departments to maintain regulatory standards.
The Demand Center Outbound Sales Specialist is responsible for identifying and qualifying new business opportunities through outbound prospecting and lead nurturing. They act as the first point of contact for prospective financial advisors, managing the sales pipeline and collaborating with marketing to drive revenue growth.
The Senior Trust Officer manages trust accounts, ensuring compliance with legal requirements and trust documents while delivering personalized service. They also focus on business development by educating financial advisors on trust products and fostering strong client relationships.
The Regional Business Development Manager is responsible for recruiting independent financial advisors and presenting the firm's wealth management model. They must develop territory-specific recruiting plans, manage the sales pipeline, and negotiate offers to meet recruitment goals.
Manage a caseload of retirement plan clients, serving as the primary point of contact for plan administration and compliance. Deliver testing results, year-end packages, and ensure timely filing of 5500 forms while consulting with advisors to resolve plan-related issues.
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.
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.
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.
