Supervision Specialist

As a fundamental member of Cetera Institutions, you’ll actively contribute to upholding the integrity and security of our financial operations while fostering a culture of compliance and continuous improvement. This is a unique opportunity to help Financial Professionals by making them aware of sale practice issues from a supervision perspectiveductively, we are currently seeking a Supervision Specialist to join our team in one of our office locations for a hybrid model.

Candidates must be located in El Segundo, CA;
Dallas, TX;
Des Moines, IA;
St Cloud, MN

What you will do
:

Directly oversees assigned Financial Professionals by reviewing and approving customer new accounts, daily transactions, correspondence review and compliance with Regulation Best Interest.

Conduct customer account reviews to detect potential sales abuses.

Discuss compliance concerns or potential violations with the representative.

Work with the Compliance Department as needed to address regulatory concerns.

Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general products as well as internal processes & procedures.

Other duties as assigned, including other supervisory and/or operations functions

What you need to have

3+ year of compliance or relevant securities experience

3+ year of experience and a strong understanding of securities products including stocks, bonds, options, annuities, and mutual funds

FINRA Series 7, 24 required.

FINRA Series 63 and 65 or 66 must acquire within 6 months of start date.

FINRA Series 53 is plus

Work well individually and with a team

Compensation:

The base annual salary range for this role is $64,000 to $94,000, 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+ 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 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 by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through…