Senior Supervision Specialist

Supervision Specialist

We're seeking a Supervision Specialist to join our team and help ensure compliance and operational excellence. This role offers an opportunity to leverage your industry expertise as a registered principal while supporting financial professionals and safeguarding firm standards. Ideal candidates are self-motivated with strong critical-thinking and communication skills, detail-oriented, and thrive in fast-paced, time-sensitive environments. A strong understanding of the financial services industry, including products and regulations, is essential.

What you will do:

Reporting directly to the Supervision Team Manager, you will focus on principal review, business oversight, and related tasks, including but not limited to:

• Directly oversee assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and with Regulation Best Interest.
• Review alerts related to advisory account exceptions.
• Conduct customer account reviews to detect potential sales abuses.
• Discuss compliance concerns or potential violations with the financial representative.
• Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
• Collaborate with team members, departments, home office staff, and field personnel to provide ad hoc supervision support and promote the firm's overall objectives.
• Other duties as assigned, including 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, 65/66 and 63 required
• Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.).
• Deep understanding of industry rules governing transactions and suitability.
• Excellent technology and communication skills.
• Ability to thrive in a fast-paced environment with strong prioritization and multitasking skills.
• Collaborative team player with a commitment to department and firm success.
• In-depth knowledge of financial products and services.
• Great customer service, communication and relationship skills.

Compensation:

The base salary range for this role in Dallas, TX is $76,000 to $115,000, 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.

Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Job Info

• Job Identification 6301
• Job Category CHANNEL & COMMUNITY MANAGEMENT
• Job Schedule Full time
• Locations Dallas (Hybrid)
• Finra Registration Yes