Operations Professional

Cetera Financial Group; Dallas (TX); Hybrid; USD 47,000 - 57,000; Full time

Benefits offered by this job

Health, dental, vision & life plans

PTO & holidays

401(k) with company match

Parental leave

EAP & LifeLock

Caregiver leave

Job summary

Cetera Financial Group is seeking a Senior Operations Professional for our Brokerage Operations team. This hybrid role requires proximity to our Dallas, TX office and focuses on delivering high-level operational and client service support.

Responsibilities include processing daily tasks, responding to inquiries, researching accounts, and ensuring regulatory compliance. A background in finance and Series licenses are valued assets for advancing within the team.

Qualifications

• Flexible and adaptable to change.
• Strong communication and organizational skills.
• Independent; able to resolve complex issues with minimal guidance.
• Ability to learn quickly and multi-task effectively in a fast-paced environment.
• Team player attitude; energetic and results-oriented.
• Ability to train others on same job roles & responsibilities as needed.
• 1 year operations experience and familiarity with finance industry is preferred.

Responsibilities

• Provide high-level operational, customer service, and administrative support in our Brokerage Operations department.
• Process daily tasks such as journal entries and account processing, payment solutions, etc.
• Respond to telephone/email/chat inquiries from internal and external customers including registered representatives.
• Perform research on customer accounts as requested.
• Partner with team members to ensure consistent, high-quality customer service.
• Comply with processes, procedures, and regulatory requirements.

Skills

Adaptability

Communication skills

Coaching & training

Independent problem solving

Multitasking

Team player

Energetic & results-driven

Train others

Education

High School Diploma or GED

Tools

MS Office

Job description

Cetera is currently seeking a Senior Operations Professional for our Brokerage Operations team. This is a unique opportunity to join our team in providing operational support and world-class customer service to our clients.

This is a hybrid position and requires you to be located near our Dallas, TX office.

Core Responsibilities:

• Provide high-level operational, customer service, and administrative support in our Brokerage Operations department.
• Be responsible for daily processing of work associated with the department. This may include journal entries, account processing, payment solutions, etc.
• Respond to telephone/email/chat or written correspondence inquiries from internal and external customers including registered representatives regarding account status, account changes and process.
• Perform research as requested on customer accounts.
• Partner with other team members to ensure financial professionals experience consistent, high-quality customer service.
• Comply with processes and procedures of the team and any regulatory requirements.
• Comply with processes and procedures of the team and any regulatory requirements.

Know how to access written supervisory procedures (WSPs) for the teams and processes you support.

Required Knowledge, Skills, and Abilities:

• Flexible and adaptable to change
• Strong communication and organizational skills
• Highly responsive to coaching and training
• Independent; able to work and resolve complex issues with minimal guidance
• Ability to learn quickly and multi-task effectively in a fast-paced environment
• Team player attitude
• Energetic and results-oriented

Ability to train others on same job roles & responsibilities as needed

Desired Knowledge, Skills, and Abilities:

• Previous experience in the Finance industry
• 1 year operations experience
• 1 year of experience with MS Office tools
• Series 99, 6, or 7 licensed
• Demonstrated experience delivering excellent problem resolution, organizational and follow-up skills

Ability to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignments.

Minimum Required Education & Experience:

• High School Diploma or GED

Travel Requirements:

No Travel Required

Compensation:

The base annual salary range for this role is $22.60 to $27.40, plus a competitive performance-based bonus.Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

About Us

About Us

What we give you in return:

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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