Ken Muraoka, CRCP

Wildcard
DISC Type : sic

SVP, Head of Compliance Shared Services at Cetera Financial Group

Marietta, Georgia, United States

Overview

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.

Personality Overview

ROI Driven

Requires Proof

Friendly But Slow

They are often friendly and nice, but can sometimes suprise you with their piercing questions  They typically tend to be late adopters even when they seem friendly and excited about what you have to sell They are unlikely to ever become strong champions even when the conversations are going well; you should focus on cultivating other champions

Topics They Care 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.
Community Engagement
He publicly celebrates his Atlanta team's involvement in the community, showing that he values corporate social responsibility and local engagement.

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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Ken Muraoka, SVP, head of compliance shared services at Cetera shares his AAPI experience. Featured in Facebook (Cetera Financial Group)

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Work History

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

Education

1989 - 1993
Bachelor of Arts from Vanderbilt University
2011 - 2011
Certified Regulatory and Compliance Professional from The Wharton School

More Information

Social Presence :

Prographics :

Exp : 24 Location : Marietta, Georgia, United States Job Level : Leadership Designation : SVP, Head of Compliance Shared Services at Cetera Financial Group
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Insights For Selling To Ken

During A Call Or A Meeting

DO's

  • Be prepared for a lot of questions, answer them objectively
  • Help them realize that there is no personal risk in making this decision
  • Use phrases like ‘clear proof that’, ‘data shows’ etc.

DONT's

  • Avoid winging it with them particularly, answer a question only if you know the answer well
  • Don’t overhype the product/pitch, keep it measured
  • Do not sound overly eager, modulate your energy levels especially if you are generally enthusiastic

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Ken is

  • Clear proof of product value matters to them, followed by others' testimonials and rapport.
  • Will you ever get a clear answer from Ken

  • They are likely to give you a clear answer without taking you around in circles. However, if you share a good relationship, they might not be so forthcoming.

Insights For Deal Planning

    How fast (or slow) will Ken move?

  • They like to perform full analysis and can take time to make any decision.
  • Can Ken take some risk or not?

  • They weigh all decisions systematically and are unlikely to take many risks.

You And Ken

Personality Compatibility


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