Licensing & Registration Professional

Cetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. They are seeking a Licensing & Registration Professional to provide operational support and customer service for various departments and advisors across the Cetera Network.ResponsibilitiesSupport of Cetera’s Advisory Programs including, Operational support and Customer Service for various departments within the organization as well as advisors across the Cetera NetworkUnderstanding of advisory programs and billing methodologies, Operations business and established knowledge around brokerage operations New Accounts, Money Movement, and MaintenanceResponsible for daily processing of work associated with department to include: Advisory billing processingPerform various asset calculations/reconciliationPerform research as requested on customer accountsProvide phone support for departmentOther duties as assignedYou will partner with your Operations Lead and/or Team Lead to understand all position requirements and ensure key metrics are achieved and within Service Level AgreementsYou will cross train team members with the foundation of the Specialty Operations roleCross training on billing functions, Envestnet platform and understanding workflowsYou will proactively work to identify and resolve potential problems with respect to operational and/or billing issuesRespond to inquiries from internal as well as external customers via Sales Force, email, mail (if applicable), and phone (if applicable) in a timely fashionPartner with Internal teams to come to a resolutionHandle complex cases that require detailed research as requested on customer accounts, respond on timeBecome competent in Docupace, NetX360, Adviceworks, mAA, Salesforce and SmartworksProvide the clients and advisors of our different communities operational support around Financial Planning operationsLearn about our business and develop expertise in BD operations, processing and service as a steppingstone for acquiring additional responsibilitiesResponsible for low to mid escalations, partnering with Operations Team Lead and leadership to help resolvePartner with internal partners such as the Program Manager, AdviceWorks team and complianceShared responsibility related to reviewing and completing compliance audit requestsYou will partner with your manager to understand all position requirements and ensure key metrics are achievedProcess daily work items while meeting process requirements, SLA’s and achieving quality metricsYou will partner with other team members to ensure advisors experience consistent, high-quality customer serviceComply with processes and procedures of the team and regulatory requirementsPerform research as requested on customer accountsOther duties as assignedSkillsAbility to multi-taskFlexible and adaptable to changeStrong communication and organizational skillsPositive role model to colleaguesHighly responsive to coaching and trainingAbility to learn quickly and multi-task effectively in a fast-paced environmentTeam player attitudeEnergetic and results-orientedIntermediate experience with Microsoft ExcelHigh School Diploma or GED1 years' applicable experience1 years of experience with MS Office toolsLicensing (if applicable)Previous experience in the Finance and/or Financial Services industryBachelor's degreeSeries 99, 6, or 7 licensedDemonstrated experience delivering excellent problem resolution, organizational and follow-up skillsAbility to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignmentsBenefitsInclusive 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 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days 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.Company OverviewCetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is http://www.cetera.com.Company H1B SponsorshipCetera Financial Group has a track record of offering H1B sponsorships, with 7 in 2025, 3 in 2024, 5 in 2023, 2 in 2022, 2 in 2021. Please note that this does not guarantee sponsorship for this specific role.



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