Supervisor, Specialty Operations

Cetera Financial Group is seeking a dynamic and experienced Advisory Operations Supervisor to oversee our Specialty Operations focusing on Advisory Operations. This is a unique opportunity to lead a high-performing team, drive operational excellence, and deliver red-carpet service to our network of Financial Professionals. If you thrive in a fast-paced environment, excel at cross-functional collaboration, and are passionate about empowering advisors through streamlined operations—this role is for you.

What You’ll Do:

• Lead & Inspire: Manage and mentor a team of operations professionals supporting both advisory and/or financial planning products on multiple custodial platforms. Foster a culture of collaboration, accountability, and continuous improvement.
• Operational Expertise: Oversee end-to-end processes for Advisory / Managed New Accounts, Account Maintenance, and/or Fee-for-Service Financial Planning. Ensure accuracy, efficiency, and compliance across platforms.
• Platform Mastery: Serve as a subject matter expert on My Advice Architect (Envestnet), AdvicePay, and document management. Understanding of the custodian platforms such as Pershing Netx360. Guide advisors through Advisory account opening requirements such as proposal generation, trading, servicing, and plan documentation.
• Cross-Functional Collaboration: Partner with internal teams including Compliance, Technology, Billing, Investment Solutions, and Advisor Support to deliver seamless advisor experiences.
• Escalation Management: Resolve complex issues with discretion and sound judgment, ensuring timely and effective outcomes.
• Data-Driven Leadership: Monitor and report on key metrics including processing queues, capacity, efficiency, and knowledge trends.
• Coaching & Development: Provide ongoing feedback and career development support to team members, enhancing both individual and team performance while fostering collaboration and efficiency.

What You Need to Have:

• Experience: 5+ years in financial services, preferably within an RIA or Broker-Dealer. Strong background in investment operations, advisory platforms, and team leadership.
• Education: Bachelor’s degree in Finance, Economics, Business Administration, or related field.
• Licensing: Series 99 required; Series 6, 7, 63/65, or 66 preferred.
• Skills: Exceptional communication, problem-solving, and organizational skills. Proficiency in Salesforce, Microsoft Office Suite, and financial platforms like Envestnet and NetX360, Fidelity, Broadridge.
• Mindset: A proactive leader with a passion for service, a knack for process optimization, and a collaborative spirit.

Compensation:

The base salary for this role is $68,000.00 - $75,000.00, plus competitive performance-based variable compensation package. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

#LI-Hybrid

What we give you in return:

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

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 an independent financial advisor network and 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 " refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors , Cetera Advisor Networks , Cetera Financial Institutions, and Cetera Financial Specialists .

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.

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