Ken Muraoka, CRCP in

Ken Muraoka, CRCP

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SVP, Head of Compliance Shared Services at Cetera Financial Group
📍 Marietta, Georgia, United States

Ken Muraoka leads Compliance Shared Services at Cetera Financial Group, specializing in operations and project management. An alumnus of Vanderbilt University and The Wharton School, he is consistently described by colleagues as a pragmatic, strategic, and motivational leader with prior leadership roles at Charles Schwab and AIG Advisor Group.

Ken is actively involved with his team in Atlanta, taking pride in their collective contributions to the local community. He appears to be a very engaged manager who is invested in both his teams professional success and their positive impact outside of the office.

Peers have noted his rare combination of being both a hands-on "doer" and a skilled manager of people.

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Experience
24 Years
Current Role
SVP, Head of Compliance Shared Services
Job Level
Leadership
Location
Marietta, Georgia, United States
Personality Overview

How Ken shows up

Communication Style
Decision Approach
Work Preference

Behavioral traits and communication patterns that shape how this person evaluates opportunities, builds trust, and makes decisions in professional settings.

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Priorities

Topics Ken cares about

Compliance Operations
His role involves leading teams responsible for advertising review, branch exams, and managing regulatory inquiries, showcasing his deep expertise in operational compliance.
Team Leadership
Multiple recommendations praise him as an exceptional manager who motivates staff, removes barriers, and builds strong teams, which he actively recruits for.
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Career

Work history

4-2015
SVP, Head of Compliance Shared Services
Cetera Financial Group
4-2013 - 3-2015
Vice President, AS Risk and Controls
Charles Schwab
9-2011 - 1-2013
Chief Compliance Officer
AIG Advisor Group
3-2007 - 9-2011
Senior Vice President, Network Compliance
AIG Advisor Group
10-2005 - 1-2007
Assistant Vice President, Operations
MassMutual Financial Group
In the press

Media appearances

District 2 – West Region Candidate – Ken Muraoka, SVP, Head of Compliance Shared Services, Cetera Financial Group. Featured in FINRA (Financial Industry Regulatory Authority)
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Candidate Profile Form – Regional Committee Election – Ken Muraoka, SVP, Head of Compliance Shared Services, Cetera Financial Group. Featured in FINRA (Financial Industry Regulatory Authority)
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Education
1989 - 1993
Bachelor of Arts
Vanderbilt University
2011 - 2011
Certified Regulatory and Compliance Professional
The Wharton School
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

Dominance, influence, steadiness, and calculativeness scores with guidance on how this person prefers to communicate and decide.

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