Operations Associate

Cetera • Albany, NY

9d • $23 - $27

About The Position

The Operations Assistant supports Financial Professionals with the operational and administrative management of their investment practice. The role focuses on executing day-to-day operational workflows, managing documentation and service requests, and maintaining organized, compliant processes to support efficient practice operations. It does not involve sales, maintaining a book of business, or providing financial advice or recommendations to clients. Licensing is not required.

The role is designed to be flexible and may be tailored using defined role task checklists to align with a practice’s specific operational needs.

Requirements

• Strong organizational and time-management skills.
• High attention to detail in a regulated environment.
• Ability to manage multiple priorities and deadlines.
• Strong written and verbal communication skills.
• Proficiency with technology and ability to learn firm systems, including Microsoft Word, Excel, and PowerPoint.
• High school diploma or equivalent.

Nice To Haves

• Some college.

Responsibilities

• Support Financial Professionals with operational and administrative functions related to daily practice management.
• Manage workflows related to account maintenance, service requests, and operational follow-up.
• Prepare, process, and track paperwork to ensure timely and accurate completion.
• Maintain accurate client and operational records in firm-approved systems and tools, such as CRM and AdviceWorks/SmartWorks.
• Track outstanding operational items and follow up to ensure resolution.
• Maintain organized electronic and physical filing systems in accordance with compliance standards.
• Support practice processes related to client servicing, internal coordination, and operational efficiency.
• Partner with Financial Professionals to support workflow organization and process improvement.
• Participate in regular meetings with Financial Professionals to align on operational priorities and tasks.
• Adhere to firm policies and regulatory requirements while maintaining confidentiality and data integrity.

Benefits

• Inclusive health, dental, vision, and life insurance plans.
• Mental health benefits.
• 20+ days of paid time off, paid holidays, and two paid wellness days.
• 401(k) savings plan with a company contribution of up to 5%.
• Access to a financial professional for financial planning.
• Paid parental leave for birth, adoption, and fostering.
• Health Savings Account and Flexible Spending Account options.
• Employee Assistance Program.
• LifeLock identity theft protection.
• Pet insurance.
• Paid caregiver leave.
• Other voluntary benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED