Part Time Compliance Finra Jobs (NOW HIRING)

This person supports Financial Advisors (Registered Representatives) with running their day-to-day Investment practice while enhancing the customer service level and experience. This person works directly with the Registered Representative(s) to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies. This role can also be the first step of the career pathing program to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7, & 66 or 63/65 combo). *This position is hybrid and part-time.

What You Will Do:
    Act as a liaison between the registered representatives and their clients.
    Answer phones, schedule appointments, and prepare materials for client meetings.
    Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointment with clients.
    Prepare and complete client paperwork and follow up tasks to support registered representative.
    Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs are met.
    Organize client events and follow up tasks.
    Maintain client records and retention management within corporate requirements.
    Conduct proactive outreach to clients and registered representatives on time sensitive activities (e.g., RMDs, Client's Quarterly/Annual Reviews).
    Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure clients' expectations for timely service delivery are met.
    Educate clients on account services, capabilities, and new technology.
    Complete required corporate training on new technologies and follow implementation guidelines.
    Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
    Work with Advisor(s) through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing, and client communication expectations and follow up processes.

What You Will Have:
    High School Diploma or GED
    Experience in an administrative or customer service role
    Strong time management skills
    Excellent written and verbal communication skills
    Proficient in Microsoft Office tools (Word, Excel & PowerPoint) and ability to learn new programs

What is Nice to Have: 
    Previous experience in assisting Registered Representatives/Financial Advisors 
    Financial services and/or banking background 
    Bachelor's degree in Finance, Business, Marketing, or Communications
    Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment
    Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors 
    Self-starter, productive, works well with a team and independently
    Professional and positive attitude, friendly demeanor both in-person and by telephone
    Trustworthy; uses discretion with confidential information 
    Listens well to instruction and consistently retains details

    Bilingual in English and Korean, with the ability to communicate effectively in both languages, is strongly preferred.

The base annual salary range for this role is $16.25-$25.95, 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.

#LI-hybrid
 

About Us

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 fostering.
• 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.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers 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 one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

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 (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

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 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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