Deputy Head of Supervision

Job Description

At Cetera, we need experienced compliance leaders to help us deliver integrity and continuous improvement. As a senior supervision professional, you understand how to design, implement, and enhance supervisory systems that meet complex regulatory requirements and support business growth. You apply sound judgment to complex supervisory matters, collaborate across functions, and promote a strong culture of compliance.

We are currently seeking a Deputy Head of Supervision to support firm-wide supervisory oversight at Cetera Wealth Services in Dallas, TX.

What you will do

• Support firm-wide compliance with FINRA rules, SEC regulations, and applicable state securities laws.
• Assist in the design, implementation, documentation, and enhancement of the firm's supervisory system in accordance with FINRA Rule 3110.
• Oversee supervisory reviews of registered representatives, principals, branch offices, OSJs, and remote locations.
• Provide oversight of supervisory systems including trade review, transaction surveillance, and electronic communications.
• Serve as a supervisory escalation point for complex matters.
• Assist with FINRA and SEC examinations and remediation of findings.
• Monitor regulatory developments and support implementation of rule changes.
• Partner with Compliance, Legal, and Risk teams on regulatory matters.
• Maintain strong working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations.
• Support supervision of dual-registered representatives.
• Coordinate cross-functional initiatives and provide updates to senior leadership.

What you need to have

• Bachelor's degree required
• Minimum of 10 years of progressively responsible experience in the financial services industry, in a supervision or compliance capacity.
• Series 7, 24, 63 and 66 or 65 registrations required. Series 4 and 53 desired
• Experience managing and developing senior professionals.
• Strong knowledge of FINRA Rule 3110, SEC regulations, and state securities laws.
• Ability to analyze and resolve complex supervisory and regulatory matters.

Compensation

The base salary range for this role in Dallas, TX is $122,000 to $182,000, 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.

#LI-Hybrid

About Us

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), LifeLock, Pet Insurance and more.

About Cetera Financial Group:

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 Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

"Cetera Financial Group" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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