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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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 day 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, and Cetera Financial Specialists .

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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