Senior Specialty Operations Professional

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

Benefits offered by this job

Hybrid work model

Job summary

Cetera Financial Group Inc. in West Des Moines, IA, seeks an Operations Specialist to produce and maintain advisory accounts, support brokerage workflows, and resolve account-related items.

You will work with the Advisory Operations team to meet SLAs and cross-train colleagues on queues and processes. You will handle inquiries via Salesforce and other channels, perform detailed research on accounts, and partner with program managers and compliance to resolve escalations while delivering

Qualifications

• Bachelor's degree or higher.
• Series 99, 6, or 7 licensing preferred.
• Experience in financial services or brokerage operations is a plus.
• Ability to learn quickly and multi-task in a fast-paced environment.

Responsibilities

• Produce and maintain advisory accounts and related activities.
• Understand advisory operations and brokerage workflows (New Accounts, Money Movement, Maintenance).
• Collaborate with Leads to meet SLAs and key metrics.
• Cross-train team members on workflows and queues.
• Identify and resolve potential operational problems.
• Respond to internal/external inquiries via Salesforce, email, mail, and phone.
• Escalate and communicate effectively with leaders and teams.
• Perform detailed research on customer accounts as requested.
• Ensure regulatory compliance and process adherence.
• Provide clients and advisors operational support for financial planning operations.

Skills

Multi-tasking

Communication

Organizational skills

Coaching willingness

Independent problem solving

Team player

Adaptability

Energetic and results-oriented

Cooperation with leadership

Education

Bachelor's degree

Series 99/6/7 licensed

High School Diploma or GED

Tools

MS Office

Salesforce

Docupace

NetX360

AdviceWorks

MAA

SmartWorks

Job description

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.

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