The Conversion Specialist serves as a pivotal liaison across business units within Cetera, facilitating communication and coordination among outside departments, service providers, vendors, clearing firms, and regulatory authorities (including FINRA, SEC, and State Agencies). This role is responsible for leading bulk account conversion activities for Cetera’s integration with other clearing firms, identifying and implementing process improvements to optimize these conversions.
What You Will Do:
- Seamless Transition Management: Ensure a smooth onboarding process for new broker-dealers and advisors to the CIS platform by managing and resolving risks, issues, and dependencies.
- Stakeholder Collaboration: Engage and coordinate with internal and external stakeholders, conducting comprehensive operations and technology overviews of current state business models and performing gap analyses to identify areas for improvement.
- Project Management & Execution: Oversee the full lifecycle of conversion events, from initiation to completion, acting as the primary liaison between clients and internal operations and technical teams to ensure project success.
- Operational and Technology Review: Lead reviews of operations and technology to support effective transitions, including requirements gathering and documentation.
- Business Analysis & Strategic Consultation: Conduct thorough business analysis, providing strategic consultation to clients to ensure conversion objectives are aligned with their needs.
- Team Coordination: Orchestrate cross-functional teams to onboard clients efficiently, ensuring alignment across internal departments and timely completion of conversions.
- Risk Assessment & Compliance: Perform risk assessment, documentation, communication, and escalation to maintain high compliance standards, meeting all regulatory requirements.
- Regulatory Compliance: Stay informed of industry regulations, ensuring all conversion activities meet compliance standards.
What You Will Have:
- Analytical & Conceptual Skills: Demonstrated excellence in analyzing complex data and conceptualizing innovative solutions.
- Documentation & Reporting: High-level proficiency in documentation and report generation, with a keen eye for detail.
- Planning & Time Management: Strong planning, organizational, and time management abilities, with experience in prioritizing tasks effectively.
- Operational & Regulatory Knowledge: In-depth understanding of operational processes and regulatory policies and procedures within the finance industry.
- Process Improvement Focus: A forward-thinking approach to identifying and implementing process improvements to enhance efficiency and client satisfaction.
- Independent Judgment: Capable of exercising independent judgment and taking initiative on projects and problem-solving.
- Self-Motivated & Team-Oriented: Demonstrates a proactive, self-driven work ethic with the ability to thrive both independently and within a team.
- Workflow Optimization Experience: Proven experience in optimizing workflows to improve overall productivity and service quality.
- Communication & Customer Service: Excellent interpersonal and communication skills with a strong focus on customer service and client relationship building.
- Education: High school diploma with coursework or training in finance or a related field.
- Experience: A minimum of 3+ years of experience in a relevant field.
Really Catch Our Eye With:
- Project Representation Experience: Experience representing a business unit on cross-functional projects, with a deep understanding of team processes and requirements.
- Problem-Solving & Follow-Up Skills: Proven success in problem resolution, with strong organizational and follow-up abilities.
- Deadline Management: Ability to multi-task and prioritize effectively, especially in handling regulatory deadlines and field inquiries.
- Educational Background: Bachelor’s degree in finance, business, or a related field is preferred.
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