Supervisor, Specialty Operations

Job Description

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!

• Leadand manage an Advisory Billing & Reporting 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 leadersto 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 (WSP-s) 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.

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

• 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

Up to 20%

The base annual salary range for this role is $71,000 - $111,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor consideration.

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers 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 one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

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 (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC:
Cetera Advisors LLC;
Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks);
Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc.

(dba Cetera Holdings, an affiliate of…