About the role

Senior Manager directing sales performance and regulatory compliance across Cetera's investment services program. Leading a team while ensuring exceptional client satisfaction and operational excellence.

Responsibilities

Lead, hire, train, motivate, and retain licensed employees across designated locations.
Drive sales results by monitoring production, coaching advisors, and supporting licensed/unlicensed staff with goal setting, performance feedback, and sales strategies.
Develop and oversee program performance targets, including revenue goals, service standards, quality metrics, compliance adherence, and budget management.
Partner closely with broker dealer partners, internal staff, and cross functional business units to reinforce program value and support education around investment services.
Ensure full adherence to all State, Federal, and regulatory requirements governing securities and insurance products.
Provide ongoing compliance training and communication to all financial advisors and licensed/unlicensed employees.
Conduct periodic reviews of policies, procedures, and compliance safeguards to maintain regulatory integrity.
Maintain required OSJ records and perform ongoing due diligence reviews of all investment products offered through the program.
Ensure clients receive accurate, transparent information regarding product features, risks, and suitability.
Oversee the consistency and quality of all program communication materials to align with sound financial principles.
Establish, track, and improve customer satisfaction measures to ensure an exceptional client experience across all program touchpoints.

Series 6 and Series 7 required
Series 7 preferred (or ability to obtain upon hire).
Life and disability insurance license (or ability to obtain upon hire).
Bachelor’s degree or equivalent experience in investment sales or financial services.
Five or more years of investment sales experience in a bank or financial services environment.
Prior experience managing or leading an investment sales program strongly preferred.
Commitment to ongoing professional development, including pursuit of advanced credentials or training.
Strong interpersonal and communication skills with the ability to work effectively with diverse internal partners and clients.
Highly organized, detail oriented self-starter who exercises sound judgment and handles confidential information appropriately.

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.