Cetera Financial Group

Manager, Supervision

Cetera Financial Group • $90K — $120K *
Dallas, TX 75217In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree or equivalent work experience
  • 5-10 years of industry experience
  • Previous leadership experience
  • Broker Dealer supervision experience
  • Series 7, 24, 66 (52/53 & 4 preferred)
  • Strong project management skills

Responsibilities

  • Lead, coach, and develop a team of OSJ Supervisors
  • Oversee team workloads and performance
  • Manage multiple concurrent projects and initiatives
  • Serve as the primary lead for strategic supervision initiatives
  • Partner with senior leadership to support business partners
  • Build strong relationships across the organization
  • Facilitate discussions with firm leaders regarding supervision

Benefits

  • Opportunity to lead a dynamic team
  • Direct involvement in key supervision initiatives
  • Support from senior leadership
  • Emphasis on professional development
  • Collaborative work environment
Full Job Description
Job Description

The Supervision Manager is responsible for the direct leadership and oversight of the CWS Supervision Specialists team. This role manages both scheduled and ad hoc projects across team members with competing priorities while ensuring the timely and effective execution of supervision activities. The Supervision Manager will also serve as the lead for key supervision initiatives and play a critical role in supporting the firm's risk management, compliance, and supervisory programs

What You'll Do:
  • Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities.
  • Oversee team workloads, priorities, and performance to ensure high-quality and timely execution of supervisory responsibilities.
  • Manage multiple concurrent projects and initiatives, balancing scheduled deliverables and emerging business needs.
  • Serve as the primary lead for strategic supervision initiatives and process improvements.
  • Partner with senior leadership to ensure the supervision organization effectively supports internal business partners and field offices.
  • Build strong relationships across the organization to drive collaboration, consistency, and effective risk management.
  • Lead and facilitate discussions with firm leaders regarding supervisory matters, escalations, and business initiatives.
  • Supervisory Functions Oversight:
    • Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including outside business activities (OBAs), private securities transactions (PSTs), correspondence review, registration and licensing requirements, complaint triage, new OSJ training, annual advisory client reviews, policy violation investigations and disciplinary actions, surveillance escalations, trade reviews, and new business reviews.


What You Need to Have:
  • Bachelor's degree or equivalent work experience
  • 5-10 years Industry experience
  • Previous leadership experience
  • Broker Dealer supervision experience.
  • Series 7, 24, 66 (52/53 & 4 preferred)
  • Attention to detail.
  • Ability to create and teach new and existing processes.
  • Ability to foster a collaborative work environment.
  • Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment.
  • Strong project management skills with the ability to prioritize multiple competing demands.
  • Excellent communication, relationship management, and influencing skills.
  • Proven ability to collaborate effectively at all levels of an organization, including senior leadership.
  • Strong analytical and problem-solving capabilities with a focus on risk identification and resolution.
  • Ability to lead through change and drive continuous process improvement.


What's Nice to Have:
  • Proficient in Microsoft Excel/Power point
  • Ability to present in front of small and large groups.


About Cetera Financial Group

Cetera Financial Group is a network of independent broker-dealer firms that provide financial advice to individuals and small businesses. The company was founded in 2010 and is headquartered in El Segundo, California. Cetera Financial Group offers a range of services, including investment advice, financial planning, and insurance products. The company has over 8,000 financial advisors and manages over $200 billion in assets.
Learn more about Cetera Financial Group
Size
8,000 employees
Industry
Finance & Insurance
Founded
2010
* Ladders Estimates

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