Senior Specialty Operations Professional
About The Position
Cetera Financial Group is seeking a Senior Operations Associate to provide operational support for its fee-based advisory platform and deliver high-quality customer service to broker-dealer clients. The position is based in the company’s Dallas, Texas, or St. Cloud, Minnesota, office. The role provides day-to-day operational support, processes daily transitions and fee-based paperwork, conducts detailed research on customer accounts, and responds to inquiries from internal and external customers. The employee is expected to meet process requirements, service-level agreements, and quality metrics; follow team procedures and regulatory requirements; collaborate with colleagues to provide consistent service; and help coach and train new employees. The position also offers the opportunity to develop expertise in broker-dealer operations, processing, and service while taking on additional responsibilities.
Requirements
- High school diploma or GED.
- At least 1 year of experience working in client service.
- At least 1 year of experience working with Microsoft Office programs.
- Attention to detail.
- Strong oral and written communication skills.
- Ability to be flexible and adapt to change.
- Collaborative, team-oriented approach and ability to serve as a positive role model.
- Innovative self-starter with a strong work ethic.
Nice To Haves
- At least 1 year of work experience in the financial services industry.
- Previous exposure to client servicing and/or account management.
- Bachelor’s degree.
- Series 7 license.
Responsibilities
- Provide day-to-day operational support.
- Learn the business and develop expertise in broker-dealer operations, processing, and service as a basis for taking on additional responsibilities.
- Process daily transitions while meeting process requirements and service-level agreements and achieving quality metrics.
- Collaborate with team members to ensure advisors receive consistent, high-quality customer service.
- Assist with coaching and training new employees.
- Proactively identify and resolve potential operational issues.
- Respond promptly to internal and external customer inquiries by email, fax, and phone.
- Process daily work associated with fee-based paperwork.
- Conduct detailed research on customer accounts as requested and respond on time.
- Comply with team processes and procedures and regulatory requirements.
- Perform other duties as assigned.
Benefits
- Competitive salary.
- Health insurance.
- Dental insurance.
- Vision insurance.
- Life insurance.
- Mental health benefits.
- 20+ days of paid time off.
- Paid holidays.
- Two paid wellness days.
- 401(k) savings plan with company contributions of up to 5%.
- Access to a financial professional.
- Paid parental leave for birth, adoption, and fostering.
- Health Savings Account options.
- Flexible Spending Account options for healthcare, daycare, commuting, and more.
- Employee Assistance Program.
- LifeLock identity theft protection.
- Pet insurance.
- Paid caregiver leave.
- Other voluntary benefits.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
High school or GED
