Brokerage Operations Lead - Team Performance & Compliance

Cetera Financial Group Inc; St. Cloud (MO); Hybrid; USD 63,000 - 85,000; Full time

Benefits offered by this job

Hybrid work

Job summary

Cetera Financial Group Inc. in St. Cloud, MN is seeking a Supervisor, Operations to lead a brokerage operations team and ensure timely, accurate service to financial professionals and internal partners. The role emphasizes performance, coaching, and process adherence in a hybrid work setting.

You will partner with quality control, compliance, and technology, oversee ~10 direct reports, and drive improvements that enhance service, risk management, and advisor experience.

Qualifications

• Bachelor's degree in business, finance, economics, or related field.
• Experience in customer service, brokerage operations, or financial services operations.
• Licenses or certifications: Series 99 or Series 7.
• Experience leading or coaching a team.

Responsibilities

• Lead and manage a brokerage operations team of about 10 direct reports.
• Review volumes, queues, capacity, and performance metrics to prioritize work.
• Identify root causes and implement improvements for efficiency and risk mitigation.
• Partner with quality control, escalation, compliance, technology, training to resolve complex issues.
• Hold regular team meetings and one-on-one discussions to coach employees.
• Support hiring, onboarding, training, development, and career growth for direct reports.
• Maintain relationships with internal departments, external vendors, and business leaders.
• Monitor, reinforce, and contribute to policies, procedures to support compliant operations.
• Prepare and share operational updates, metrics, and recommendations with leaders.

Skills

Team leadership

Operations management

Customer service

Process improvement

Vendor management

Communication

Education

Bachelor's degree in business/finance

Job description

Cetera Financial Group Inc. in St. Cloud, MN is seeking a Supervisor, Operations to lead a brokerage operations team and ensure timely, accurate service to financial professionals and internal partners. The role emphasizes performance, coaching, and process adherence in a hybrid work setting.

You will partner with quality control, compliance, and technology, oversee ~10 direct reports, and drive improvements that enhance service, risk management, and advisor experience.