Senior Manager, Wealth Management Practice Operations
About The Position
Cetera Financial Group is seeking a Senior Manager, Wealth Management Practice Operations to serve as an operating partner within its Owned Portfolio, a core pillar of Cetera’s corporate development and long-term value creation strategy. The Owned Portfolio consists of wealth management practices in which Cetera maintains direct ownership and operating responsibility, including recently acquired offices. This role is designed for a leader who thrives in hands-on practice management, with direct accountability for advisor performance, client outcomes, financial results, and day-to-day operations. This position requires deep financial services expertise and active FINRA licenses, enabling the leader to credibly partner with advisors and operate within a registered environment. You will work closely with advisors and staff daily to drive growth, improve execution, and ensure alignment with Cetera’s operating standards, platforms, and strategic priorities. Success in this role requires strong business judgment, operational rigor, and a willingness to engage deeply in execution.
Requirements
- Bachelor’s degree in a relevant field.
- Minimum of 5 years of experience in wealth management, banking, or financial services, with prior experience as a Senior Financial Advisor, Relationship Manager, Investment Manager, Sales Manager, or Program Manager.
- Demonstrated experience providing direct, hands-on oversight of advisors or client-facing teams, ideally in a multi-practice or portfolio environment.
- Strong operating mindset with the ability to balance strategic priorities and day-to-day execution.
- Excellent leadership, analytical, and problem-solving skills, with the ability to deliver results under tight timelines.
- Strong written and verbal communication skills and the ability to influence advisors and cross-functional partners.
- Proficiency in Microsoft Office applications.
- Active FINRA licenses: Series 7 and Series 66 (or Series 63 & 65), and Life & Health state insurance licenses.
Nice To Haves
- Series 24 license preferred.
Responsibilities
- Serve as the primary day-to-day operating leader for a portfolio of owned wealth management practices, including acquired offices transitioning into Cetera’s operating model.
- Lead the assimilation of systems, workflows, and business practices from acquired practices into Cetera platforms, policies, and standards.
- Assess legacy operational, advisory, and client service practices; identify gaps, risks, and inefficiencies, and implement corrective action plans.
- Act as the central liaison between owned offices and Cetera enterprise teams (Operations, Compliance, Technology, Investments, Planning, Finance.)
- Partner closely with financial advisors to improve practice performance, client engagement, productivity, and retention across the full advisor lifecycle.
- Drive organic growth and client satisfaction through consistent adoption and effective use of Cetera’s technology platforms, investment solutions, financial planning tools, and coaching programs.
- Provide hands-on coaching and guidance related to business management, client strategy, workflow optimization, and execution of growth initiatives.
- Oversee local office operations, including staffing models, capacity management, client assignments, billing and collections, and operational discipline.
- Monitor operational and performance metrics; deliver actionable insights and recommendations to leadership.
- Ensure operational consistency, scalability, and service quality across all assigned offices.
- Manage, mentor, and develop a team of registered representatives, registered administrators, and planning professionals.
- Fostering a high ‑ performance, accountable culture focused on operational excellence, strong client outcomes, and compliance.
- Support onboarding and development of advisors and staff into Cetera platforms, systems, and cultural expectations.
- Maintain active FINRA registrations and operate as a licensed leader supporting registered activities, as required.
- Partner closely with Compliance and Supervision to ensure adherence to FINRA, and Cetera requirements.
- Identify, escalate, and remediate supervisory or compliance risks within owned and newly acquired operations.
- Reinforce a strong culture of compliance, ethical conduct, and risk awareness.
- Execute and lead special projects and operating initiatives at the direction of senior leadership, including optimization, integration, and process improvement efforts.
- Lead adoption and optimization of Cetera-approved systems for trading, CRM, reporting, planning, and operations.
- Support enterprise initiatives at the direction of senior leadership, including optimization, integration, and process improvement efforts.
- Develop and review client-facing and internal communications and deliverables as required.
- Perform additional responsibilities consistent with the objectives of the RIA & Branches Channel within Cetera.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
