Supervision Specialist

Cetera Financial Group is currently seeking a Supervision Specialist. This is a unique opportunity to join our team which is responsible for the supervisory oversight of registered representatives and associated persons under their jurisdiction. The following is an overview of the functions to be performed by the Supervision Specialist. However, due to the ever-changing regulatory environment in which we operate, flexibility is required as job functions and details of the work assignments may change over time.

This is a hybrid role for one of our office locations:
San Diego, CA or El Segundo, CA or Dallas, TX.

• Function as the direct supervisor for assigned Registered Representatives and OSJ Managers as part of a supervisory team.
• Maintain positive relationships with all Registered Representatives and OSJ Managers.
• Provide ongoing education regarding the firm’s policies and procedures.
• Review securities transactions including but not limited to equities, fixed income, mutual funds, UITs, variable annuities, fixed-index annuities, municipal securities, and 529 transactions.
• Actively monitor transactions and accounts on an exception basis using the firm’s electronic surveillance tools.
• Act as a liaison between the Home Office and the field to assist with problem-solving.
• Ability to identify and help resolve potential sales practice concerns.
• Perform supervisory office visits when conditions permit. Travel is less than 10%.

• 3+ years of supervisory or compliance experience.
• Series 4, 7, 24, 51, 65 or 66 securities licenses required.
• Ability to obtain Series 4 & 51 within certain time period post start date.
• Strong knowledge of FINRA, SEC, and State rules and regulations required.
• Strong knowledge of mutual funds, annuities, general securities, and other financial products is required.
• Detailed research and documentation skills.
• Excellent verbal and written communication skills.
• Must be able to work in a team environment and support other colleagues as needed.
• Organized and able to manage multiple projects simultaneously while meeting deadlines.
• Team player who possesses great initiative, flexibility, excellent judgment, and knows how to provide indispensable service.
• Exceptional ability to follow instructions with minimal supervision.
• Proficient in Microsoft Word and Excel.

The base annual salary range for this role is $75,000 to $111,000, 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 plus 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), Life Lock, Pet Insurance and more.

Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers empowering…