Licensing & Registration Professional

Cetera Financial Group is seeking a Reporting and Billing Professional to join their Licensing & Registration team. This role involves providing operational support and customer service, focusing on advisory programs, billing processing, and internal communication to ensure quality service delivery.

Responsibilities

• Support of Cetera’s Advisory Programs including, Operational support and Customer Service for various departments within the organization as well as advisors across the Cetera Network
• Understanding of advisory programs and billing methodologies, Operations business and established knowledge around brokerage operations New Accounts, Money Movement, and Maintenance
• Responsible for daily processing of work associated with department to include:
• Advisory billing processing
• Perform various asset calculations/reconciliation
• Perform research as requested on customer accounts
• Provide phone support for department
• Other duties as assigned
• You 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 Agreements
• You will cross train team members with the foundation of the Specialty Operations role. Cross training on billing functions, Envestnet platform and understanding workflows
• You will proactively work to identify and resolve potential problems with respect to operational and/or billing issues
• Respond to inquiries from internal as well as external customers via Sales Force, email, mail (if applicable), and phone (if applicable) in a timely fashion
• Partner with Internal teams to come to a resolution
• Handle complex cases that require detailed research as requested on customer accounts, respond on time
• Become competent in Docupace, NetX360, Adviceworks, mAA, Salesforce and Smartworks
• Provide the clients and advisors of our different communities operational support around Financial Planning operations
• Learn about our business and develop expertise in BD operations, processing and service as a steppingstone for acquiring additional responsibilities
• Responsible for low to mid escalations, partnering with Operations Team Lead and leadership to help resolve
• Partner with internal partners such as the Program Manager, AdviceWorks team and compliance
• Shared responsibility related to reviewing and completing compliance audit requests
• You will partner with your manager to understand all position requirements and ensure key metrics are achieved
• Process daily work items while meeting process requirements, SLA’s and achieving quality metrics
• You will partner with other team members to ensure advisors experience consistent, high-quality customer service
• Comply with processes and procedures of the team and regulatory requirements
• Perform research as requested on customer accounts

Skills

• Ability to multi-task
• Flexible and adaptable to change
• Strong communication and organizational skills
• Positive role model to colleagues
• Highly responsive to coaching and training
• Ability to learn quickly and multi-task effectively in a fast-paced environment
• Team player attitude
• Energetic and results-oriented
• Intermediate experience with Microsoft Excel
• High School Diploma or GED
• 1 years' applicable experience
• 1 years of experience with MS Office tools
• Licensing (if applicable)
• Previous experience in the Finance and/or Financial Services industry
• Bachelor's degree
• Series 99, 6, or 7 licensed
• Demonstrated experience delivering excellent problem resolution, organizational and follow-up skills
• Ability to multi-task while staying on track with regulatory deadlines, field inquiries, and internal assignments

Benefits

• Competitive performance-based bonus

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