Onboarding Specialist

$50,000 - $65,000/Yr

Cetera Financial Group - Schaumburg, IL

Full-time - Mid Level

Schaumburg, IL

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Cetera Financial Group is seeking an Onboarding Specialist to serve as the primary point of contact for new offices joining the broker-dealer. This role involves coordinating and leading the transition process for onboarding Financial Representatives, ensuring compliance, and providing exceptional customer service throughout the onboarding experience. The Onboarding Specialist will work closely with Onboarding Coaches to execute the Onboarding Plan and facilitate a smooth transition for new offices.

Responsibilities

• Ensure regulatory compliance while assisting offices in migrating client accounts to the firm.
• Execute a transition plan to prepare the office for onboarding and efficient onboarding of accounts.
• Ensure technology access is appropriate and working on the first day of affiliation for all members of the office.
• Distribute materials utilized during the transition process and track progress as milestones are met per a customized transition plan.
• Provide a high level of proactive customer service to the offices, ensuring timely and accurate responses.
• Effectively sell the benefits of the adoption of efficient processing and technology.
• Act as a liaison on behalf of the office with all internal stakeholders, relieving them of working with multiple parties on issues.
• Maintain up-to-date familiarity with new technology, changes to regulations, and other relevant information and communicate to offices as necessary.
• Provide feedback and aid the organization in improving the overall onboarding experience.
• Ensure a comfortable transition with the broker-dealer support teams upon completion of the onboarding.
• Respond to questions received in a shared mailbox.
• Execute daily and monthly reports to ensure continued process evolution.
• Manage the onboarding process for testing representatives, registered administrative assistants, and Reps with limited or no clients.
• Calendar / Meeting Management, follow up/accountability partner, minutes taking and distribution, action log management, access requests, and organize training.

Requirements

• Bachelor's Degree
• 3+ years of experience in Financial Services/Brokerage Operations
• 3+ years of experience in customer service

Nice-to-haves

• Expert familiarity with operations topics including ACATs, broker-dealer changes, tape-to-tape transfers, and re-papering requirements.
• Strong familiarity with the day-to-day operations of an office, e.g., ad review requirements, various product lines, servicing clients, and technology.
• Able to answer day-to-day questions on these topics independently.
• Strong understanding of the Brokerage Operations business and of regulatory requirements.
• FINRA Series 99 or 7 & 63.
• Passion for providing a world-class customer service experience to clients.
• Robust communication skills and professionalism when dealing with clients, business partners, and senior management.
• Strong organizational skills and the ability to manage multiple competing priorities.
• Positive role model to colleagues; team player mentality.
• Exceptional analytical skills, ability to solve diverse and complex problems with limited precedents or guidelines.

Benefits

• Paid parental leave
• Paid holidays
• Health insurance
• Dental insurance
• Flexible spending account
• Paid time off
• Parental leave
• Employee assistance program
• Vision insurance
• Volunteer time off
• Life insurance
• Pet insurance