Cetera Taps Ex-Northwestern Mutual VP to Lead Compliance 

Cetera Financial Group, a network of registered investment advisors and independent broker/dealers, named Gwen Weithaus chief compliance officer for Cetera Investment Services to oversee the implementation and maintenance of compliance programs. She reports to Cetera CRO Joseph Neary.  

Weithaus brings more than three decades of experience to Cetera. Most recently, serving as VP of wealth risk and controls at Northwestern Mutual, where she was responsible for risk management and controls programs, regulatory implementations and delivery, business continuity and resumption programs, and product and vendor risk management.  

Before Northwestern Mutual, she worked as a regulatory consulting manager at Deloitte and a compliance officer at Strong Investments. She also serves on the FINRA foundation board of directors and the MSRB professional qualifications advisory committee. 

“We welcome Gwen to Cetera Investment Services, where she will play a critical leadership role and we know her contributions will make a significant impact,” said LeAnn Rummel, president and CEO of Cetera Investment Services. 

Cetera Investment Services recently made two additional hires, including Tami Cain, head of institutional business development, and John Konikowski, senior manager of managed programs. 

Other key personnel additionsinclude Jerry Patterson, head of advanced wealth solutions, Scott Baker, head of corporate strategy, and Dan Burkott, CCO for Cetera’s tax channel. Marten Hoekstra was appointed to the Cetera board of directors and Michael Molnar was named head of corporate development as part of an expanded investment in advisory solutions effort. 

Cetera managed more than $505 billion in assets under administration and $213 billion in assets under management as of March 31, 2024.