Top Tech Jobs & Startup Jobs in Charlotte, NC

Attract and recruit independent financial professionals for Cetera’s broker-dealer network. Manage recruiting pipelines, targeted campaigns, candidate evaluations, appointments, and home-office visits. Serve as the initial prospect contact, explain Cetera’s business model, gather candidate business insights, and support tailored transition packages. Collaborate with external recruiters and cross-functional teams on lead generation, solution development, and sales enablement materials. Track activity in Salesforce and Excel while conducting candidate meetings and supporting recruitment strategy execution.

Manages advertising compliance policies, reviews and approves marketing materials, interprets FINRA and SEC regulations, conducts audits, maintains documentation, trains cross-functional teams, collaborates with legal and regulators, submits compliance reports, and leads compliance professionals in the financial services industry.

Responsible for recruiting financial advisors, developing leads, creating recruitment plans, delivering presentations, and managing the recruitment process in the West Region.

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%.

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 Research and draft guidance, respond to regulator inquiries, manage SME review processes, maintain compliance materials, and communicate regulatory impacts to business units.

Review and approve retail advertising and communication for compliance with federal/state insurance and securities laws (FINRA/SEC), manage regulatory correspondence, coordinate subject-matter reviewers, track records, maintain compliance materials, and respond to regulator, customer, and producer inquiries.

Lead a Regional Growth Team to achieve sales goals, manage advisor relationships, and enhance organic growth. Oversee engagement plans and sales pipelines while collaborating with onboarding and sales teams.

The Regional Business Development Manager recruits Financial Advisors and CPA firms, develops leads, and manages the sales process within the tax channel, focusing on CFG's value proposition.