Onboarding Specialist

$50,000 - $65,000/Yr

Avantax - Schaumburg, IL

Full-time - Entry Level

Schaumburg, IL

Professional, Scientific, and Technical Services

About the position

The Onboarding Specialist at Cetera Financial Group serves as the primary point of contact for new offices joining the broker-dealer, coordinating and leading them through the transition process. This role involves assisting the Onboarding Coach in executing the Onboarding Plan for Financial Representatives, ensuring timely and accurate delivery of onboarding tasks, and providing high-level customer service throughout the onboarding experience.

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
• 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
• 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
• Personal integrity, professionalism, and strong work ethic

Benefits

• Inclusive health, dental, vision and life insurance plans
• Easy access to mental health benefits
• 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 day of paid volunteer time off (VTO)
• 401(k) Savings plan with a generous company contribution (up to 5%)
• Paid parental leave for birth, adoption, and foster
• Health Savings and Flexible Spending Account options
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more