Senior Specialty Operations Professional

Cetera Financial Group; West Des Moines (IA); Hybrid; USD 25,000 - 34,000; Full time

Benefits offered by this job

Health insurance

401(k) plan with company contribution

Paid holidays and PTO

Job summary

Cetera Financial Group is seeking a Senior Specialty Operations Professional in Des Moines, IA, with hybrid potential after training. You will support advisory accounts, manage maintenance tasks, and coordinate with operations leadership to meet SLAs.

Expect cross-training, proactive problem solving, and collaboration across teams to deliver high-quality client service. The role emphasizes detailed research on complex cases, proficient use of Docupace, NetX360, Adviceworks, MAA, Salesforce and

Qualifications

• Multi-tasking across advisory operations and client requests.
• Ability to learn new systems and processes quickly.
• Interest in regulatory deadlines and compliance steps.

Responsibilities

• Produce and maintain Advisory Accounts and resolve related items.
• Support brokerage operations including New Accounts, Money Movement, and Maintenance.
• Handle escalations with internal teams and compliance.
• Respond to inquiries via Salesforce, email, mail, and phone.
• Cross-train teammates on workflows and queues.
• Communicate issues and resolutions to leadership.

Skills

Ability to multi-task

Flexible and adaptable to change

Strong communication and orga niz at

Education

Bachelor’s degree

Series 99, 6, or 7 licensed

High School Diploma or GED

Tools

Docupace

NetX360

Adviceworks

MAA

Salesforce

Smartworks

Job description

Job Description

Cetera is currently seeking a Senior Specialty Operations Professional for our team located in Des Moines, IA. This is a unique opportunity to join our team in providing operational support and world-class customer service to our clients. There is potential for this to be a hybrid role based on a successful training period.

Core Responsibilities

• Producing and Maintaining Advisory Accounts – setting up, providing maintenance, and resolving Advisory Account work items related to Cetera Financial Group’s Advisory Programs.
• Understanding of the Advisory Operations business and established knowledge around brokerage operations New Accounts, Money Movement, and Maintenance.
• You will partner with your Operations Lead and/or Team Lead to understand all position requirements and ensure key metrics are achieved and within Service Level Agreements.
• You will cross train team members with the foundation of the Specialty Operations role. Cross training on Queues and understanding workflows.
• You will proactively work to identify and resolve potential problems with respect to operational issues.
• Respond to inquiries from internal as well as external customers via Sales Force, email, mail (if applicable), and phone (if applicable) in a timely fashion.
• Partner with Internal teams to come to a resolution
• Handle complex cases that require detailed research as requested on customer accounts, respond on time.
• Clearly communicate ideas, escalations, and operational awareness to Team Leads, Operations Team Leads, and leadership.
• Become competent in Docupace, NetX360, Adviceworks, MAA, Salesforce and Smartworks
• You will complete other duties as assigned.
• Provide the clients and advisors of our different communities operational support around Financial Planning operations.
• Learn about our business and develop expertise in BD operations, processing and service as a stepping stone for acquiring additional responsibilities.
• Responsible for low to mid escalations, partnering with Operations Team Lead and leadership to help resolve.
• Partner with internal partners such as the Program Manager, AdviceWorks team and compliance.
• Shared responsibility related to reviewing and completing compliance audit reviews of plans.
• You will partner with your manager to understand all position requirements and ensure key metrics are achieved.
• Process daily work items while meeting process requirements, SLA’s and achieving quality metrics.
• You will partner with other team members to ensure advisors experience consistent, high-quality customer service.
• You will proactively work to identify and resolve potential problems with respect to operational issues.
• Respond to inquiries from internal as well as external customers via email, client mail, and phone in a timely fashion.
• You will perform detailed research as requested on customer accounts and respond on time.
• First level contact resolution related to escalated Support Center, Inbox and/or SalesForce inquiries for the department.
• Comply with processes and procedures of the team and regulatory requirements.

Required Knowledge, Skills, And Abilities

• Ability to multi-task
• Flexible and adaptable to change
• Strong communication and organizational skills
• Positive role model to colleagues
• 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

Desired Knowledge, Skills, And Abilities

• Bachelor’s degree
• 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
• 1 years’ experience in the financial industry
• 1 years of experience with MS Office tools
• Licensing (if applicable)

Travel Requirements

No Travel Required

Compensation

The salary range for this role is $17.80- $25.00, plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

About Us

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); 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.