Deputy Head of Supervision

Cetera • Dallas, TX

1d • Hybrid

About The Position

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 Advisors LLC in Dallas, TX.

Requirements

• 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.
• 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.

Nice To Haves

• Series 4 and 53 desired

Responsibilities

• 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.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior