Job Description
We are seeking a Supervision Specialist to provide principal oversight, can 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 location, Dallas, TX
What You Will Do
The Supervision Specialist serves as a principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to:
• 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
• 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
• 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
• Bachelor's degree required
• FINRA Series 7, 24, and 63 required
• FINRA Series 65 or 66 required
• FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held)
• 3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
• 3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
• 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
• Strong critical-thinking, decision-making, and risk-assessment skills
• 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
What Is Nice To Have
• Additional FINRA licenses or industry certifications
• Insurance licenses
• Prior independent broker-dealer experience
• 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
The base salary range for this role in Dallas, TX is $75,000 - $95,000 plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.
