Cetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. They are seeking a Licensing & Registration Professional to provide operational support and customer service for various departments and advisors across the Cetera Network.
Responsibilities
- Support of Cetera’s Advisory Programs including, Operational support and Customer Service for various departments within the organization as well as advisors across the Cetera Network
- Understanding of advisory programs and billing methodologies, Operations business and established knowledge around brokerage operations New Accounts, Money Movement, and Maintenance
- Responsible for daily processing of work associated with department to include: Advisory billing processing
- Perform various asset calculations/reconciliation
- Perform research as requested on customer accounts
- Provide phone support for department
- Other duties as assigned
- 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 billing functions, Envestnet platform and understanding workflows
- You will proactively work to identify and resolve potential problems with respect to operational and/or billing 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
- Become competent in Docupace, NetX360, Adviceworks, mAA, Salesforce and Smartworks
- 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 steppingstone 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 requests
- 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
- Comply with processes and procedures of the team and regulatory requirements
- Perform research as requested on customer accounts
- Other duties as assigned
Skills
- 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
- Ability to learn quickly and multi-task effectively in a fast-paced environment
- Team player attitude
- Energetic and results-oriented
- Intermediate experience with Microsoft Excel
- High School Diploma or GED
- 1 years' applicable experience
- 1 years of experience with MS Office tools
- Licensing (if applicable)
- Previous experience in the Finance and/or Financial Services industry
- 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
Benefits
- 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 plus 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 foster.
- 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.
Company Overview
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is http://www.cetera.com.Company H1B Sponsorship
Cetera Financial Group has a track record of offering H1B sponsorships, with 7 in 2025, 3 in 2024, 5 in 2023, 2 in 2022, 2 in 2021. Please note that this does not guarantee sponsorship for this specific role.