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  • 7021 Vista Drive
    West Des Moines, IA 50266

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Director of Brokerage Operations

Cetera Financial Group, Inc. • West Des Moines, IA

Posted 26 days ago

Job Snapshot

Degree - 4 Year Degree
Banking - Financial Services
Management, Finance


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Job Description

Position Title: Director of Operations, Cetera Financial Group

What we need:

Cetera Financial Group is currently seeking a Director of Operations for our office located in Des Moines, IA. This is a unique opportunity to oversee the day to day work of our Brokerage Operations teams to ensure that all guidelines and requirements are achieved, key metrics are exceeded, and team members work collaboratively to create a strong service experience for our advisors and Broker Dealers. We are seeking to hire an individual with significant team management experience, solid understanding of the financial services industry, and the ability to identify, hire and grow talent while achieving key metrics. The ideal candidate will have experience assessing and improving key processes, motivating teams, and multitasking in a high-energy and fast-paced environment.

What you will do:

  • Oversight management responsibilities for multiple processing teams within our Brokerage Operations Shared Service Center. Responsible for managing department managers and direct employees.

  • Interface with executives across the firms to align operations delivery with strategic goals and objectives.

  • Ensure that processing delivery meets or exceeds stated service level agreements, provides a strong service experience for our customers and is in compliance with all company and regulatory requirements.

  • Liaison for Pershing relationship, resolution of escalated issues, and proactive customer service; Develop and plan future strategies for customer and/or process improvement service initiatives, including implementation of new technologies.  

  • Develop, implement and direct strategic and departmental initiatives and projects

  • Oversight of installation and ongoing management of processes and procedures systems from business user perspective. 

  • Execute on all designated operations supervisory oversight responsibilities including review and sign off of procedures, daily/weekly/monthly control activities and audit support.

  • Select, train, and motivate staff; Establish team and individual employee performance goals; Administer company’s compensation plans

  • Strong team development skills including engagement, morale, training, process improvement, implementations, and strong influence leadership skills

What you need to have:

  • Bachelor’s degree

  • Series 7, 24

  • 8-10 years’ experience, with minimum of 5 years in management capacity
  • Specific knowledge of Financial Services Industry, operational processes, and regulatory policies and procedures
  • Pershing clearing and execution experience
  • Successful history designing/developing new programs, initiatives or directives

Job Requirements

Really catch our eye with:

  • 10+ years’ BD/Financial Services experience preferred
  • In-depth understanding of Cetera and Financial Services Industry
Our top performers share the following traits:
  • Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment
  • Strategic thinker with a track record of execution success
  • Ability to drive results
  • Open-minded decision maker that earns the respect, trust and confidence of executives, peers, clients and team
  • Strong process redesign skills
  • Strong leadership and team development skills
  • Strong oral and written communication skills
  • Leader who is comfortable with process, hands-on and be able to work independently
What we give you in return:
Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years. 
About Cetera Financial Group:

Cetera Financial Group® ('Cetera') is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Job ID: 1706C
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