Senior Supervision Specialist

Senior Supervision Specialist

At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm’s supervisory, compliance, and risk management frameworks. We are seeking a Senior Supervision Specialist to provide advanced principal oversight, 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 locations: Des Moines, IA, Dallas, TX

What You Will Do

The Senior Supervision Specialist serves as a senior‑level 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

• Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation

• 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

• Support training initiatives, supervision presentations, and recruiting discovery days as needed

• 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 53 required (or ability to obtain within 6 months of hire if not already held)

• 5+ years of progressive securities industry experience , including significant compliance and supervisory responsibilities

• 5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry

• Advanced 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

• Proven leadership mindset with the ability to influence, mentor, and support others

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

Compensation

The salary range for this role is $80,000 to $115,000 plus a competitive performance‑based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.