Cetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. The Annuity Case Management Associate will process new business applications, track pending cases and transfers, and handle inquiries post-policy issuance while adhering to established guidelines and service level agreements.
Responsibilities
- Process all new business – includes but not limited to checking paperwork for accuracy, reviewing the application for suitability, communicating to advisors any outstanding requirements, entering the application into Broker Back Office, and submitting the paperwork to the carrier
- Track all pending cases with carriers to make sure that there are no missing requirements, any new documents required, or signatures needed. Effectively communicate this information to the advisor
- Track all pending transfers with carriers to make sure that the replacing carrier has not requested any new documents or signatures and communicate to the advisor the anticipated transfer time period
- Communicate status updates verbally and electronically using the case memos via Broker Back Office
- Handle inquiries and process any requests after the policy has been issued including but not limited to ensuring contract delivery, policy delivery receipt signed and returned to the carrier
- Follow the New Business Guidelines to ensure the proper statuses and requirements are used throughout the case management process
- Adhere to all SLAs by setting appropriate follow-up dates on cases, responding to emails/phone calls/voicemails within the set timeframes, and ensuring we meet the monthly cycle time goal
- Perform file management including maintaining all paperwork electronically in Broker Back Office
- Handle inquiries from employees and advisors on forms, application processes and general case management status
Skills
- Prior financial services experience
- Prior experience working in a professional office environment
- Analytical and problem-solving skills
- Exceptional written and verbal communication
Benefits
- 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.
Company Overview
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families. It was founded in 2010, and is headquartered in San Diego, California, USA, with a workforce of 1001-5000 employees. Its website is http://www.cetera.com.Company H1B Sponsorship
Cetera Financial Group has a track record of offering H1B sponsorships, with 7 in 2025, 3 in 2024, 5 in 2023, 2 in 2022, 2 in 2021. Please note that this does not guarantee sponsorship for this specific role.
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