Operations Associate

Job Description

The Operations Assistant supports Financial Professionals with the operational and administrative management of their investment practice. This role focuses on executing day-to-day operational workflows, managing documentation and service requests, and maintaining organized, compliant processes to ensure efficient practice operations. This role does not make sales, maintain a book of business, or provide financial advice or recommendations to clients. Licensing is not required for this position.


The Operations Assistant role is designed to be flexible and may be tailored using defined role task checklists to align with the specific operational needs of a practice.

Core Responsibilities:

• Support Financial Professionals with operational and administrative functions related to daily practice management
• Manage workflows related to account maintenance, service requests, and operational follow-up
• Prepare, process, and track paperwork to ensure timely and accurate completion
• Maintain accurate client and operational records in firm-approved systems and tools (e.g., CRM, AdviceWorks/SmartWorks)
• Track outstanding operational items and follow up to ensure resolution
• Maintain organized electronic and physical filing systems in accordance with compliance standards
• Support practice processes related to client servicing, internal coordination, and operational efficiency
• Partner with Financial Professionals to support workflow organization and process improvement
• Participate in regular meetings with Financial Professionals to align on operational priorities and tasks
• Adhere to firm policies and regulatory requirements while maintaining confidentiality and data integrity

Required Knowledge, Skills, and Abilities:

• Strong organizational and time-management skills
• High attention to detail in a regulated environment
• Ability to manage multiple priorities and deadlines
• Strong written and verbal communication skills
• Proficient with technology and ability to learn firm systems (Microsoft Office including Word, Excel, and PowerPoint)

Minimum Required Education & Experience:

• High School diploma or equivalent
• Some college preferred

Travel Requirements: 0%

Compensation: The base salary range for this role in Albany, NY is $22.60 - $27.40 plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

About Us

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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