Cetera

Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This is a great opportunity to join our team and ensure that all retail communication complies with firm policy, FINRA, and SEC rules. This is a remote role. What you will do: - Review retail communication against applicable laws, firm policy, and regulations. - Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner. - Ensure your reviews are meeting record retention requirements. - Research policy questions in the provided firm manuals and additional resources - Ensure compliance with firm policy by doing the following: - Strive for consistency of your reviews on an ongoing basis - Assist in maintaining internal compliance materials such as manuals and reference material - Understand workflow processes for different vendors - Assist other analysts and work as a member of team to complete assignments - Complete assignments within the service level agreement timeframes - Other duties as assigned. What you need to have: - Bachelor’s degree or equivalent experience - Five years relevant experience in advertising compliance - Series 7 & 24 FINRA registrations required. - Working knowledge of life insurance and annuity products - General knowledge of advanced marketing concepts - Organization skills - Must possess both good written and verbal communication skills - Ability to manage high volumes under tight deadlines Compensation: The base annual salary range for this role is $85,000 to $100,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Cetera Financial Institutions is seeking a Financial Institutions Management Consultant (FIMC) focused on developing and supporting Financial Institutions (FIs) poised for growth working closely with other members of the Regional Growth Team (RGT), Channel, and key Cetera resources to ensure delivery of strategic value, growth, business consulting and wealth management expertise and guidance. This person will manage strategic business planning and relationships with Financial Institution executive management team, program management, financial advisors, support staff and other licensed staff within the financial institution. This position offers working remotely while supporting the West Coast region (CA, WA, OR, ID and HI) with up to 50% travel. Candidates must live within the territory and be available to work within Pacific and Mountain Time zones What will you do: • Manage strategic business planning and relationship management with Financial Institutions executive management team, program management, financial advisors, support staff and other licensed staff within the financial institution. • Serve as a strategic relationship manager for financial institutions poised for growth through proactive business consulting to grow the program and increase wallet share with, and enhance the experience for, clients and customers. • Serve as an accountability growth partner and coach in collaborating and designing tailored annual growth business plans to align with each FI’s strategic objectives and wealth management program goals. • Complete quarterly business reviews to ensure stated objectives and goals are being met and to ascertain any modifications needed to meet any current or new goals. • Responsible for identifying value-add opportunities for the Financial Institutions, working with key Cetera resources to offer our high-value programs to address and support the needs of the Financial Institution. • Retain current FI partners, owing to the process of renewing and renegotiating our partnerships. Engage other Cetera resources (Channel and/or Community Leader, Finance, Regional Team, Legal, Ops, etc.) showcase us overall current and future strategic value to the FI. • Aide Senior Manager, Regional Growth Team with overall partnership renewals within the region. • Work with Financial Institution Executives, Program Managers and Regional Growth colleagues on overall FI client segmentation, design advice and service models for client segments, prescribe support staffing models, collaborate on marketing strategies, enhance program efficiency on best practices and tech adoption, and initiate other relevant Growth360 program and advisor specific roadmaps. • Identify existing FI Advisors poised for growth and engage the Wealth Management Consultant in a strategic growth relationship with the Advisor. • Grow the advisor team within Financial Institutions by working with corporate functions within Financial Institutions to increase knowledge, skills, and execution ability in marketing, people management, financial management and development of wealth management offerings and staff. • Work with Financial Institution to improve skillset & effectiveness in recruiting and employment administration of Financial Advisors. • With the support of Cetera marketing teams, collaborate with FI’s marketing team to market the wealth management investment program offerings, enhance member & client engagement & ultimately increase client / customer penetration and wallet share. What you will need to have: • Bachelor’s Degree or equivalent experience • Previous Experience with a Regional, Community Bank or Credit Union • 10+ years of experience in Financial Services experience in a Relationship Management or Consulting Role • FINRA Series 7, Series 66 and/or Series 63/ 65 and Life Insurance License Compensation range: The base annual salary range for this role is $100,000 to $130,000, plus a competitive performance-based incentive compensation package. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Accountable for leading a Regional Growth Team and its delivery of results against sales goals and organic growth value line KPIs. Primary owner of advisor relationships. This is a remote role, and candidates must be located in the Southeast Region (FL, GA, AL, LA, AR, MS). Our primary focus for location preferred would be FL, GA, LA or AL but will consider all qualifying candidates within the required region. High concentration areas of travel will be New Orleans, LA, Birmingham, AL, Atlanta, GA, and South Florida What You Will Do - People Management - Responsible for the direct management and delivery of role accountabilities through the growth team. - Responsible for driving sales through the funnel from discovery to completion and leading the Regional Growth Team in developing and ensuring the execution of regular engagement plans and the management of the sales pipelines. - Organic Growth & Advisor Engagement - Primary owner of assigned advisor relationships working with Cetera value proposition experience throughout the advisor life cycle - Responsible for the development and deployment of Cetera-sponsored study groups for advisors. - Manage the team in fueling organic growth, engagement, advisor satisfaction, and advisor retention through key value proposition engagements and relationship management, including advisor adoption of Cetera growth tools, platforms, and solutions. - Work in collaboration with business development onboarding and sales enablement teams to ensure verified assets are realized on Cetera platform(s) within defined timeframes. - Actively identify and/or create opportunities to connect the Advisor with subject matter experts to drive product adoption of investment solutions, advice offerings, and Cetera platforms. What You Need To Have - Bachelor’s Degree - Minimum 8 years of Relationship & Sales Experience - Series 7, 66 (or 63 & 65) and /or 24 FINRA Licenses - Minimum 3 years of managing a regional team What Are Nice To Have - Strong industry knowledge (preferably independent broker-dealer channel). - Proven sales background, field (not just desk) experience. - Executive presence ("gravitas"), ability to interact with major business owners. - Strong management and leadership capacity, not just sales acumen. - Coach, strategize, approve PTO, set direction, motivate and inspire direct reports. - Must be comfortable both presenting to individuals and large audiences (up to 300 people). - Change and business planning consulting for advisors (efficiency, AUM/AUA/GDC growth, practice management). Travel REQUIREMENTS - Up to 50% Compensation The base annual salary range for this role is $115,000 to $125,000 and a generous incentive compensation package. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Cetera Financial Group is currently seeking a Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This is a fully Remote role. What You Will Do: - 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. - Involved in the following activities to ensure compliance with laws and regulations: - 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. This may include the NAIC, state DOIs, SEC, or FINRA - 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. What You Need to Have: - Bachelor’s degree or equivalent experience - Three years relevant experience in compliance (advertising Compliance experience preferred) - Series 7 & 24 FINRA registrations required. - Working knowledge of life insurance and annuity products - General knowledge of advanced marketing concepts - Good communications skills a must - Ability to manage high volumes under tight deadlines Compensation: The base annual salary range for this role is $64,000 to $94,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Director, NFG Annuity Sales is responsible for building and leading the annuity distribution engine of the firm’s broker‑dealer‑owned IMO. This role is responsible for executing the annuity growth strategy on the ground, in the field, including the development and oversight of field sales reps, designing and driving sales activity and engagement plans in support of channels, communities, firms, teams, and advisors across the Cetera ecosystem and similar stakeholders served in firms supported outside Cetera. Specific solutions supported include fixed, fixed indexed, variable, RILA/structured, SPIA/DIA and immediate income annuities— delivering advisor education, point of sale support, compliant recommendations, and consistent production through an internal/external wholesaling model. This role will scale multi‑carrier access, training, and back‑office enablement typical of IMOs (appointments, contracting, tools, and marketing support), while aligning closely with broker‑dealer supervision and Reg BI/NAIC best‑interest standards that govern annuity recommendations. Core Responsibilities: Growth, GTM & Sales Leadership • Build a 3 year annuity growth plan with annual production targets by channel, region, and product; align to advisor segments and client needs (retirement income, accumulation, protection). • Lead and coach a high performing wholesaling organization (external + internal), advanced sales/case design, and sales enablement to increase illustration to submission conversion and placement rates. • Work with the broader NFG team to establish a compelling advisor journey (education → discovery → illustration → submission → in force review) supported by IMO services (multi carrier access, training, marketing tools). Carrier & Product Strategy • Work closely with the Strategic Partnership team to develop and support strategic relationships and QBRs with annuity carriers; including the negotiation of shelf placement, economics, marketing support, and data feeds. • Curate a competitive multi carrier product menu (fixed, FIA, VA, RILA/structured, SPIA/DIA); provide comparative positioning and playbooks for advisors and field leaders. • Stay current on market trends and distribution share (e.g., IBD and independent agent channels) to inform priorities and capacity planning. Field Enablement & Training • Deploy scalable training (live/virtual) on product mechanics, use cases, and regulation; equip advisors with compliant sales narratives and tools (illustrations, proposal templates, checklists). • Build advanced planning content for retirement income design, tax considerations, and integration with financial plans. Compliance, Governance & Best Interest Standards • Partner with the broker dealer’s Compliance, Supervision, and Legal to operationalize Reg BI obligations for securities annuities (e.g., VAs and RILAs) and ensure documented care, conflicts, and disclosure controls; reinforce FINRA Rule 2330 processes for VAs. • Adhere to broker‑dealer supervision, advertising standards, and carrier co‑brand rules. • Coordinate with Insurance Compliance on NAIC’s Suitability in Annuity Transactions Model (best interest) and safe harbor alignment for producers who are RR/IARs. • Ensure licensing/appointments, advertising, and training standards are met across agents under the IMO umbrella. Operations, Technology & Data • Oversee licensing/contracting, appointment workflows, case status visibility, commission accuracy, and service escalations—core IMO value pillars. • Partner with Tech/Data to implement CRM, pipeline dashboards, illustration ingestion, STP e app/e delivery, and in force data feeds for proactive reviews. Cross Firm Leadership • Align with Wealth, Product, Planning, and Branch/Practice Management to embed annuity guidance into advisor platforms and client experiences. • Serve as executive sponsor for strategic initiatives (e.g., RILA education, income lab pilots, enterprise training) Other duties as assigned. Required Knowledge, Skills, and Abilities: • Distribution & IMO Fluency: Understand the hierarchy and roles across IMO/FMO/BGA/MGA/GA; navigate multi‑layered contracting and support models. • Regulatory Acumen: Ability to translate Reg BI, FINRA, and NAIC best‑interest expectations into day‑to‑day sales processes and advisor coaching. • Advanced Sales & Case Design: Proficiency in retirement income design, product comparisons, and illustration analysis for advisors. • Carrier & Economics Savvy: Skilled in negotiating compensation structures, marketing arrangements, and placement priorities. • Data‑Driven Leadership: Build dashboards for pipeline, conversion, placement, lapse/surrender, persistency, and advisor adoption; use insights to coach and prioritize. • People Leadership: Recruit, develop, and retain top wholesaling and advanced sales talent with a coaching culture. • Communication: Executive‑caliber storytelling; clear, compliant sales messaging for advisors and clients. Minimum Required Education & Experience: • 10+ years in annuity distribution/wholesaling leadership (internal/external) within IMOs/FMOs, carriers, or broker‑dealers. • Deep knowledge of annuity product mechanics across categories (FIA, VA, RILA/structured, SPIA/DIA) and their planning applications. • Demonstrated success building advisor adoption programs, field training, and carrier partnership outcomes. • Active state Life & Annuity insurance license; FINRA registrations (e.g., Series 6/7 and 63/65/66) or willingness to obtain per product set and BD policy. • State Life & Annuity license required; FINRA registrations may be required based on product shelf (e.g., VA/RILA). • Working command of Reg BI (SEC), FINRA Rule 2330 (VAs), and NAIC best‑interest model implications for producers and insurers. • Preferred: o Experience inside an IMO/FMO model (multi‑carrier appointments, overrides, agent recruiting/support). o Strong carrier network and prior negotiation of shelf economics, data sharing, and marketing co‑op. o Track record integrating e‑app/e‑delivery, CRM, and data pipelines for annuity distribution. Travel Requirements: 40–75% for field events, carrier meetings, and advisor workshops.

Cetera Financial Group is currently seeking a Senior Compliance Analyst for Ad Review. This is a great opportunity to join our team and ensure that all retail communication complies with firm policy, FINRA, and SEC rules. This is a remote role. What you will do: - Review retail communication against applicable laws, firm policy, and regulations. - Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner. - Ensure your reviews are meeting record retention requirements. - Research policy questions in the provided firm manuals and additional resources - Ensure compliance with firm policy by doing the following: - Strive for consistency of your reviews on an ongoing basis - Assist in maintaining internal compliance materials such as manuals and reference material - Understand workflow processes for different vendors - Assist other analysts and work as a member of team to complete assignments - Complete assignments within the service level agreement timeframes - Other duties as assigned. What you need to have: - Bachelor’s degree or equivalent experience - Five years relevant experience in advertising compliance - Series 7 & 24 FINRA registrations required. - Working knowledge of life insurance and annuity products - General knowledge of advanced marketing concepts - Organization skills - Must possess both good written and verbal communication skills - Ability to manage high volumes under tight deadlines Compensation: The base annual salary range for this role is $85,000 to $100,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Cetera Financial Group (CFG) is currently seeking an experienced Regional Business Development Manager, Tax Channel, who will lead the Business Development process by driving the recruitment of Financial Advisors & Accounting Firms. This is a pivotal role responsible for presenting and representing CFG as the Tax business organization of choice for independent, growth-oriented firms. The Senior Manager will manage the recruitment of prospective accounting firms and promote CFG’s value proposition in the industry. An ideal candidate will have established relationships and an entrepreneurial drive for success. It is critical that this role focuses on the recruitment of CPA firms who want to participate in our turnkey program. This will be a work from home opportunity that requires traveling 50% of the time. What you will do: -Develop leads and build relationships with prospective Financial Advisors. through professional yet persistent, ongoing contact. -Recruiting Accounting/CPA Firms -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. What you need to have: -Minimum 5-8 years related work experience within financial services (Public Accounting, Wealth Management, Advisory) within a sales environment. -FINRA Series 7, 65 or 66 licenses. -Negotiation and creating compelling value propositions for prospective clients. -Effective communication and presentation techniques. -Working knowledge of Salesforce and Excel. -Understanding of the sales process and relevant metrics. -Strong knowledge of the Financial Services industry. -Ability to represent CFG within the community and professional organizations. What is nice to have: -Bachelor’s Degree -FINRA Licenses including Series 7; 65; 66; SIE -Wholesaling Experience / Recruiting Background -CPA License (preferred) Travel Requirements: 50% Compensation: The base annual salary range for this role is $100K-$110K, plus an incentive-based performance bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Cetera Financial Group (CFG) is seeking a Wealth Management Consultant who will be responsible for engaging, building, and managing relationships with Advisors in the assigned region. This is a remote role, and candidates must be located in the West Region (CA, OR, WA). Our primary focus for location preferred would be CA but will consider all qualifying candidates within the required region. High concentration areas of travel will be Seattle, WA | San Francisco, CA | Orange County, CA. What will you do: - Serve as the primary owner of the Advisor relationship, proactively delivering the Cetera value proposition throughout the advisor life cycle. - Develop and execute proactive engagement plans, consistently managing the sales funnel from initial discovery through to completion. - Drive organic growth and advisor retention by actively promoting adoption of Cetera’s growth tools, platforms, and solutions. - Collaborate closely with business development, onboarding, and sales enablement teams to ensure verified assets are transitioned to Cetera platforms within defined timeframes. - Proactively identify and create opportunities to connect Advisors with subject matter experts, accelerating adoption of investment solutions, advice offerings, and platform capabilities. - Ensure seamless support and resolution by partnering with the Service Escalation Specialist, maintaining clear communication channels between Advisors and internal Cetera functions. What you need to have: - Bachelor’s Degree. - Minimum 6 years of Relationship & Sales Experience. - Series 7, 66, or 63/65 combo, and/or 24 FINRA Licenses. Travel Requirements: - Up to 50% for Advisor Facing Engagements & Strategic Cetera Events. Compensation: The salary range for this role is $80,000 - $100,000, plus a competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Senior Business Development Manager, Tax Channel serves as the Tax & Wealth Partners Program owner responsible for recruiting, activating, and managing strategic advisor partnerships within the Tax Channel. This role builds and scales a structured advisor‑to‑advisor partnership model by connecting Planning Advisors with Referral Advisors through both internal and external sourcing efforts. This role oversees the full partnership lifecycle from initial alignment through activation and ongoing optimization, working with internal stakeholders to ensure consistent execution and a strong advisor experience. What you will do: - Own the Tax & Wealth Partners Program strategy, execution, and ongoing optimization. - Recruit and activate strategic advisor partnerships by facilitating effective advisor‑to‑advisor matches through internal and external sourcing channels. - Own partnership discussions from initial outreach through signed affiliation and handoff to the internal onboarding team. - Consult Financial Professionals on how and when to engage potential tax professionals and coach advisors on leveraging the Tax Intelligent Analyzer and approved marketing resources. - Serve as the central point of coordination for advisor relationships, working with internal stakeholders to support onboarding, activation, and ongoing partnership success. - Facilitate advisor alignment by ensuring clarity around revenue splits, expectations, and long‑term partnership goals. - Monitor partnership health and performance indicators, proactively addressing issues impacting activation, productivity, or sustainability. - Maintain accurate pipeline forecasting, activity tracking, and reporting within Salesforce, and analyze program‑level trends to inform leadership decisions. - Educate internal teams on program objectives, referral processes, and Salesforce lead management. - Prepare program updates, insights, and executive‑level materials related to partnership outcomes and strategic initiatives. - Represent the program in advisor meetings, recruiting discussions, industry events, and internal forums. What you will need to have: - Bachelor’s degree in Finance, Business, or a related field (or equivalent experience). - Minimum of 7+ years of experience in financial services, advisor recruiting, business development, or program management. - Strong experience in program ownership, partnership development, or business development within financial services. - Deep understanding of advisor business models, including revenue sharing, referral structures, and client servicing roles. - Proven skill in aligning multiple stakeholders around shared outcomes. - Strategic mindset with the ability to translate vision into scalable processes. - Excellent relationship‑building, communication, and facilitation skills. - Experience working directly with financial advisors, wealth management programs, or advisor partnerships strongly preferred. Travel Requirements: Up to 50% Compensation: The base annual salary range for this role is $110,000 plus a competitive incentive compensation package. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: - Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. - Easy access to mental health benefits to meet our team members and their families where they are. - 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. - 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. - Paid parental leave to support all team members with birth, adoption, and foster. - Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. - Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. "Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Senior Business Development Manager, Tax Channel serves as the Tax & Wealth Partners Program owner responsible for recruiting, activating, and managing strategic advisor partnerships within the Tax Channel. This role builds and scales a structured advisor‑to‑advisor partnership model by connecting Planning Advisors with Referral Advisors through both internal and external sourcing efforts. This role oversees the full partnership lifecycle from initial alignment through activation and ongoing optimization, working with internal stakeholders to ensure consistent execution and a strong advisor experience. What you will do: - Own the Tax & Wealth Partners Program strategy, execution, and ongoing optimization. - Recruit and activate strategic advisor partnerships by facilitating effective advisor‑to‑advisor matches through internal and external sourcing channels. - Own partnership discussions from initial outreach through signed affiliation and handoff to the internal onboarding team. - Consult Financial Professionals on how and when to engage potential tax professionals and coach advisors on leveraging the Tax Intelligent Analyzer and approved marketing resources. - Serve as the central point of coordination for advisor relationships, working with internal stakeholders to support onboarding, activation, and ongoing partnership success. - Facilitate advisor alignment by ensuring clarity around revenue splits, expectations, and long‑term partnership goals. - Monitor partnership health and performance indicators, proactively addressing issues impacting activation, productivity, or sustainability. - Maintain accurate pipeline forecasting, activity tracking, and reporting within Salesforce, and analyze program‑level trends to inform leadership decisions. - Educate internal teams on program objectives, referral processes, and Salesforce lead management. - Prepare program updates, insights, and executive‑level materials related to partnership outcomes and strategic initiatives. - Represent the program in advisor meetings, recruiting discussions, industry events, and internal forums. What you will need to have: - Bachelor’s degree in Finance, Business, or a related field (or equivalent experience). - Minimum of 7+ years of experience in financial services, advisor recruiting, business development, or program management. - Strong experience in program ownership, partnership development, or business development within financial services. - Deep understanding of advisor business models, including revenue sharing, referral structures, and client servicing roles. - Proven skill in aligning multiple stakeholders around shared outcomes. - Strategic mindset with the ability to translate vision into scalable processes. - Excellent relationship‑building, communication, and facilitation skills. - Experience working directly with financial advisors, wealth management programs, or advisor partnerships strongly preferred. Travel Requirements: Up to 50% Compensation: The base annual salary range for this role is $110,000 plus a competitive incentive compensation package. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Remote