Senior Specialty Operations Professional

Cetera is currently seeking a Senior Specialty Operations Professional for our team located in St. Cloud, MN.  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 $22.10 - $25.00 plus a competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to a skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to the cost of labor considerations.

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