Financial Operations Coordinator

2 days ago

New York, New York, United States Cetera Financial Group Full time

The Financial Operations Coordinator at Cetera Financial Group supports Financial Professionals in their day-to-day Investment practices while enhancing customer service levels and experiences.

This role may support up to three Financial Professionals, working directly with them to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies.

Responsibilities:

  • Liaise between Financial Professionals and their clients, adhering to FINRA guidelines as a registered sales assistant.
  • Answer phone calls, schedule appointments, and prepare materials for client meetings.
  • Aid Financial Professionals in preparing client illustrations, graphs, charts, reports, etc. for presentations and meetings with clients.
  • Prepare and complete client paperwork and follow-up tasks to support Financial Professionals.
  • Assist Financial Professionals in entering trades instructed by clients or representatives on behalf of clients, without suggesting sales or purchase strategies or recommendations to clients or prospects, and never acting as the representative on any client account.
  • Engage with clients via phone, virtual visits, and in-person to ensure client service level needs are met.
  • Set client financial review meetings based on client service level agreements and prepare follow-up meetings according to client needs.
  • Organize client events and follow-up tasks.
  • Maintain an organized filing system following compliance guidelines.
  • Conduct proactive outreach to clients and Financial Professionals regarding time-sensitive activities (e.g., RMDs, Client's Quarterly/Annual Reviews).
  • Take ownership of inquiries and requests; communicate with internal departments to ensure timely service delivery meets client expectations.
  • Educate clients on account services, capabilities, and new technologies.
  • Complete required corporate training on new technologies and implement guidelines.
  • Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks, and Redtail, following Cetera standards in a timely manner.
  • Collaborate with Advisors through weekly meetings to help maintain Business Plan processes, tasks, marketing, and client communication expectations, and follow-up processes.
  • May assist in onboarding and training of new team members.

Requirements:

  • Holding a Life, Accident & Health Insurance License, Series 7 & 66 (or 63/65 combo)
  • Three or more years of experience in the Financial Services/Investments industry
  • High School Diploma, GED, or equivalent
  • Experience in an administrative or customer service role
  • Strong time management skills
  • Excellent written and verbal communication skills
  • Proficient in Microsoft Office tools (Word, Excel, PowerPoint) and ability to learn new programs

Preferred Qualifications:

  • Previous experience assisting Registered Representatives/Financial Advisors
  • Background in Financial Services and/or banking
  • Attention to detail, excellent organization skills, ability to multitask, and produce accurate results in a fast-paced work environment
  • Able to manage own workflow and priorities, accommodate unexpected requests or needs from Advisors
  • Self-starter, productive, works well with a team and independently
  • Professional and positive attitude, friendly demeanor both in-person and by telephone
  • Trustworthy, uses discretion with confidential information
  • Listens well to instruction and consistently retains details

Compensation:

The base hourly range for this role is $29.00 to $35.00. Base salary depends on various 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 considerations.

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