Onboarding Partner

Cetera Cetera Financial Group is currently seeking an Onboarding Partner, an individual contributor role within the Integrations Department. This individual will focus on supporting Financial Professionals (FP) who have decided to affiliate with one of the communities within the Cetera ecosystem. This role provides guidance and assistance to a FP by coordinating the regulatory paperwork process (Form U4), conducting internal business reviews to identify any potential roadblocks or issues, update FP information in applicable internal systems, track FP through all phases on the onboarding process while ensuring critical tasks are completed prior to onboarding. This individual will function as the main point of contact at the early stages of the FPs journey and facilitate ongoing calls with FPs and internal partners until their affiliation. Upon affiliation, this individual will facilitate a warm handoff to the Transitions team to ensure service and support continuity.

Core Responsibilities:

Major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily.

• Collaborate with internal partners and/or Financial Professionals to ensure the onboarding process is managed and areas of concern are addressed timely.

• Collaboration with internal partners to ensure an effective, repeatable experience for the Financial Professional.

• Ensure data integrity within the firm’s internal systems, including Salesforce and L&R.

• Develop relationships with cross-functional partners and communicate with them on a regular basis via phone and email.

• Ensure the status of onboarding progress is accurately represented, kept current and reflects all interactions with Financial Professionals within the firm’s CRM solution, Salesforce.

• Track progress and communicate with Financial Professionals and internal partners throughout the onboarding process.

• Engage with Financial Professionals at a regular cadence as defined within workflows to assist with their questions and needs as they onboard with the firm.

• Work with prospective Financial Professionals to ensure timely and accurate completion of firm agreements, regulatory applications, background checks, and fingerprinting.

• Manage high value Firm/FP onboarding activities until time of affiliation. Serve as backup for other Firm/FP with assets to transition to our platform, as volume dictates.

• Ability to effectively speak to CFG value proposition and future vision.

• Ability to navigate the firm effectively to ensure best practices execution.

• Contribute to process improvement initiatives designed to enhance efficiency, scalability, and the client experience.

Required Knowledge, Skills, and Abilities:

• Writing — Communicating effectively in writing as appropriate for the needs of the audience.

• Active Listening — Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.

• Reading Comprehension — Understanding written sentences and paragraphs in work related documents.

• Speaking — Talking to others to convey information effectively.

• Time Management — Managing one's own time.

• Oral Comprehension – the ability to listen to and understand information and ideas presented

  through spoken words and sentences.

• Strong attention to detail and commitment to accuracy.

• Proficiency with Microsoft Office Suite and CRM systems.

Desired Knowledge, Skills, and Abilities:

• SIE, 7/66 or SIE, 7/63 or 99 (a plus)

• 1-2 years broker/dealer or RIA background (a plus).

• Clerical — Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, designing forms, and other office procedures and terminology.

• English Language — Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar.

• Customer and Personal Service — Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.

• Computers and Electronics — Knowledge of computer hardware and software, including applications and programming. Knowledge of Salesforce and DocuSign a plus.

Minimum Required Education & Experience:

• Minimum 5 years in financial services desired

• Minimum 5 years customer service experience desired.

• Excellent interpersonal and organizational skills, with a track record of working in a team environment.

• Ability to work in a fast-paced environment with specific performance goals.

• Ability to work in a highly autonomous environment while meeting all service demands.

• Ability to adapt to change.

• Detail oriented.

• Strong communication skills and ability to build trust with team members.

• Must have a sense of urgency, ability to multi-task, excellent organizational skills, and strong prioritization skills.

• Must possess excellent oral and written communication skills, and strong attention to detail.

Travel Requirements: Up to (5%)

• Minimal travel required

The base annual salary range for this role is $66,000-75,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.