Senior Supervision Specialist
Cetera Financial Group, Dallas, TX, United States
At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm’s supervisory, compliance, and risk management frameworks. We are seeking a
Senior Supervision Specialist
to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast‑paced, highly regulated environment.
This is a hybrid role, based in one of Cetera’s office locations: Des Moines, IA, Dallas, TX
What You Will Do
Perform principal review and supervision of securities and direct business transactions across a complex book of business
Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity
Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation
Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations
Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews
Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions
Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate
Support training initiatives, supervision presentations, and recruiting discovery days as needed
Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives
Promote a strong culture of compliance, accountability, and risk awareness across the field
What You Need To Have
FINRA Series 7, 24, and 63 required
FINRA Series 53 required
(or ability to obtain within 6 months of hire if not already held)
5+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products
Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices
Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators
Demonstrated ability to operate independently in a fast‑paced, time‑sensitive, supervisory environment
Proven leadership mindset with the ability to influence, mentor, and support others
What Is Nice to Have
Additional FINRA licenses or industry certifications
Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace
Experience supporting M&A, region growth efforts, complex supervision matters, or firm‑wide initiatives
Compensation
The salary range for this role is $80,000 to $115,000 plus a competitive performance‑based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.
#J-18808-Ljbffr
Senior Supervision Specialist
to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast‑paced, highly regulated environment.
This is a hybrid role, based in one of Cetera’s office locations: Des Moines, IA, Dallas, TX
What You Will Do
Perform principal review and supervision of securities and direct business transactions across a complex book of business
Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity
Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation
Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations
Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews
Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions
Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate
Support training initiatives, supervision presentations, and recruiting discovery days as needed
Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives
Promote a strong culture of compliance, accountability, and risk awareness across the field
What You Need To Have
FINRA Series 7, 24, and 63 required
FINRA Series 53 required
(or ability to obtain within 6 months of hire if not already held)
5+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products
Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices
Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators
Demonstrated ability to operate independently in a fast‑paced, time‑sensitive, supervisory environment
Proven leadership mindset with the ability to influence, mentor, and support others
What Is Nice to Have
Additional FINRA licenses or industry certifications
Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace
Experience supporting M&A, region growth efforts, complex supervision matters, or firm‑wide initiatives
Compensation
The salary range for this role is $80,000 to $115,000 plus a competitive performance‑based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.
#J-18808-Ljbffr