Operations Professional

Cetera Financial Group is currently seeking an Operations Professional for our company's office located in Des Moines, Iowa. This is a unique opportunity to start or grow your career in financial services! We provide you with the training and resources to advance your skills and develop your career with our growing organization. Join our amazing team to provide day-to-day operational support and world-class customer service to our clients!

What you will do:

· Provide day-to-day operational support to the internal and external Broker/Dealer customers of Cetera Financial Group

· Learn about our business and develop expertise in Broker/Dealer operations, processing and service as a stepping stone for acquiring additional responsibilities

· Earn FINRA 99 or 7 licenses, as appropriate

· Partner with your manager to understand all position requirements and ensure key metrics are achieved

· Process client requests while meeting process requirements, SLAs, and achieving high quality metrics

· Collaborate with other team members to ensure advisors experience consistent, high-quality customer service

· Assist with coaching and mentoring new employees

· 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, fax, and phone in a timely fashion

· Build relationships across multiple functions and act as a liaison between customers/financial professionals and institutions, including banks, credit unions, and clearing firms

· Process daily work associated with your department including asset movement, account transfers, and new account set-up and maintenance

· Provide operations support including relationship management for assigned groups, onboarding of new reps and advisors, account transfers from other firms, system access to advisors and home office associates, processing mail and imaging, and other work associated with supporting our advisors

· Perform detailed research as requested on customer accounts and respond on time

· Comply with the processes and procedures of the team and regulatory requirements

· Be able to handle and assist with escalated scenarios to ensure positive outcomes for our clients/customers

What you need to have:

· High School Diploma or GED

· 3 years of experience working with Microsoft Office programs

· Personal integrity, responsiveness, professionalism, and ambition; strong work ethic

· Demonstrated experience communicating orally and in writing

· Flexible and adaptable to change

· Positive role model/mentor to colleagues; team player mentality

What is nice have:

· Bachelor's Degree

· Series 99, 6, or 7 licensed

· 3 years of experience in the financial services industry

What we give you in return:

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, 1 paid wellness day and 1 days of paid volunteer time off (VTO) 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.

About Cetera Financial Group:

Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers 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 an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. 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 " refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors , Cetera Advisor Networks , Cetera Financial Institutions, Cetera Financial Specialists , and First Allied Securities .

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 the 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.

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