Supervisor, Operations

Cetera Financial Group is currently seeking an Operations Supervisor for our company’s office located in St Cloud, MN. This is an outstanding opportunity to provide influential leadership for our growing brokerage operations team! 

Core Responsibilities:

• Lead and manage a Brokerage Operations team to ensure that all processes, guidelines and requirements are achieved, key metrics are met or exceeded, and all team members work collectively to create a high quality customer service experience for our advisors and BDs. 
• Identify process issues/concerns, analyze issues and provide insightful and timely recommendations for improvement. 
• Ensure all employees understand and achieve SLAs and Quality standards by developing a strategy for addressing misses in either of these areas. 
• Partner with the QC/Escalation lead to identify any issues and determine a fix strategy. 
• Host daily kick-off and wrap-up meetings with your team(s) to review the daily metrics and make any process improvements and work distribution adjustments as needed. 
• Meet with your employees regularly and remove barriers and stumbling blocks that inhibit effective employee and organizational performance. 
• Act as a liaison with external vendors as well as internal departments and business leaders to build strong partnerships. 
• Identify, interview and hire candidates for open positions. 
• Partner with the training coordinator to identify key skills required for all new employees as part of achieving proficiency in their roles.  
• Contribute to and cultivate a culture of compliance while focusing on risk avoidance and mitigation. 
• Monitor and enforce policies/procedures with the business unit. 
• Oversee and give input for the Formal Written Supervisor Procedures (WSPs) as well as update them as needed as systems, policies, & procedures change. 
• Providing development and daily task coaching to their respective team. 
• Provide training to teams as necessary
• Recognize when new processes/policies need to be communicated to field users and work with SMEs and Marketing to publish content for internal & field users
• Prepare and present applicable information to governance committees as needed to support your business unit
• Monitor team key performance and metrics reporting
• Participate in the hiring process for new associates on their team.
• Other duties as assigned.

Required Knowledge, Skills, and Abilities:

• Experience in customer service or operations.
• Experience in the financial industry
• Experience leading a team.
• Proficiency in Microsoft Office suite.
• Strong verbal and written communication.
• A friendly and professional demeanor.
• Ability to work quickly under pressure and self-motivated.
• Ability to build relationships and influence peers
• FINRA SIE and Series 99 License 

Desired Knowledge, Skills, and Abilities:

• Bachelor’s degree
• Prior experience working in an advisor office
• Licensing (other FINRA Licensing)
• Familiarity with Broadridge/Schwab/Fidelity/Pershing in systems like Orion and Envestnet

Minimum Required Education & Experience: 

• High School diploma or equivalent
• 5 years of related experience in financial service, operations or customer service
• 1 year of supervisory or team leadership experience 

Travel Requirements: Up to 20%

The salary range for this role is $50,000 - $65,000, 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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Salary : $50,000 - $65,000