Cetera Financial Group · 15 hours ago
Manager, Operations
Saint Cloud, MN, United States
Full-time
Onsite
Mid, Senior Level
$87K/yr - $137K/yr
5+ years expCetera Financial Group is seeking a brokerage back-office Operations Manager for our company’s office located in St Cloud, MN. This role involves providing influential leadership for the brokerage operations team, ensuring compliance with regulatory rules, and enhancing customer service experience for advisors and clients.
AdviceFinancial ServicesRetailRetirementWealth Management
Responsibilities
Lead and manage a Brokerage Operations teams to ensure processes, guidelines and WSP requirements are achieved, key metrics are met or exceeded, and all team members work collectively to create a high quality internal and external customer service experience for our advisors, clients and industry B/Ds
Ensure adherence to regulatory rules. Such as facets of our industry Customer Protection Rule - SEA 15c3, Reg SHO, CNS settlement and Broker Fails
Experience leading brokerage back-office functions. Such as, Physical stock certificates, Purchase & Sales (P&S), Corporate Actions and securities processing for dividend and interest allocations
Working knowledge of operational aspects of Finance, Accounting, Client Account Transfers, Mutual Funds and Investor Communications (proxy, prospectus, corporate actions)
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 opportunities in either of these areas
Meet with your employees regularly to remove barriers, ensure transparency of information 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 all business units
Oversee and provide input for 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
Qualification
Required
Experience in the brokerage financial industry including applicable regulatory rules
Experience leading other Supervisors and team members
Proficiency in Microsoft Office suite
Strong verbal and written communication
Ability to work quickly under pressure and self-motivated
Ability to build relationships and influence peers
FINRA SIE and Series 99 License
Bachelor's degree
Prior experience working in an advisor office
Licensing (other FINRA Licensing). Series 7, 24, 27
Familiarity with Broadridge/Schwab/Fidelity/Pershing systems
Advisory platforms. For example, Orion and Envestnet
5 years of related experience in financial service, operations or customer service
Benefits
Competitive performance-based bonus
Company
Cetera Financial Group
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired
Leadership Team
Michael Durbin
Chief Executive Officer
Dan Burkott
Chief Compliance Officer - Tax Channel
Recent News
2026-01-22
2026-01-07
2026-01-07
Company data provided by crunchbase