Top Tech Jobs & Startup Jobs

Support Registered Representatives by preparing and processing client paperwork and transactions, scheduling meetings, maintaining client relationships, managing compliance-related recordkeeping, and providing client-facing service and technology education. Act as liaison between advisors, clients, and internal departments while following FINRA guidelines and supporting advisor business planning and client outreach.

Lead and manage a team of OSJ Supervision Specialists to oversee supervisory functions (OBAs, PSTs, correspondence, licensing, complaints, reviews, investigations). Drive supervision initiatives, manage projects, partner with senior leaders, and support risk management, compliance, and process improvements.

Drive recruitment and onboarding of financial institutions and FI-based advisors across a territory. Build and maintain senior relationships, promote Cetera affiliation models and product suite, set territory sales strategy, meet financial targets, collaborate with marketing and new business teams, represent the firm at industry events, and travel approximately 40%.

Execute mutual fund, equity, option, and fixed-income trades for managed and retail brokerage accounts; support portfolio rebalancing, assist advisors with trading inquiries, monitor trading reports and margin activity, improve trading processes, and provide advisor/internal stakeholder support.

Provide real-time advisor support and training for financial planning tools, troubleshoot technical and planning issues, deliver virtual/in-person sessions, create scalable training materials and knowledge base content, support software releases, and drive advisor adoption and plan quality.

Find, present to, recruit, and close independent financial advisors to join CFG in the East region. Build territory recruiting plans, manage pipeline and metrics, deliver presentations, negotiate offers, and collaborate cross-functionally while tracking activity in Salesforce and Excel.

Review and approve retail advertising and communications for compliance with federal/state insurance rules, FINRA and SEC regulations. Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Prepare and review individual, fiduciary, and small business tax returns; partner with wealth advisors to implement tax strategies; sign returns; coordinate quarterly estimates, projections, and year-end planning; identify process improvements and adopt new tools; communicate with clients via emails and planning documents; foster collaboration between tax and wealth teams.

Manage day-to-day client servicing for assigned accounts: process transactions, coordinate onboarding, prepare client materials, communicate with clients/custodians, resolve moderately complex inquiries, maintain CRM and documentation, escalate risks, and recommend workflow improvements.

The Client Services Representative supports Financial Advisors by handling client paperwork, conducting financial transactions, and enhancing customer service. Responsibilities include scheduling appointments, preparing client materials, and maintaining client relationships through effective communication. This is a hybrid, part-time role requiring strong customer service skills and some administrative experience.