Supervision Specialist

Cetera Financial Group • Dallas, TX

1d

About The Position

The Supervision Specialist serves as a principal responsible for complex supervision functions, leadership support, and advanced risk oversight. This role involves performing principal review and supervision of securities and direct business transactions across a complex book of business. The specialist will directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity. They will provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations. Additionally, the role requires identifying, assessing, and addressing potential sales practice issues and regulatory concerns through detailed account and activity reviews. The Supervision Specialist will partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions. They will discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate. The role also involves assisting Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives, while promoting a strong culture of compliance, accountability, and risk awareness across the field.

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• 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 This Job Offers

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