Supervision Specialist

Cetera • Saint Cloud, MN

9h • $64,000 - $94,000 • Hybrid

About The Position

As a fundamental member of Cetera Institutions, you’ll actively contribute to upholding the integrity and security of our financial operations while fostering a culture of compliance and continuous improvement. This is a unique opportunity to help Financial Professionals by making them aware of sale practice issues from a supervision perspective. We are currently seeking a Supervision Specialist to add to our team in one of our office locations for a hybrid model. Candidates must be located in El Segundo, CA; Dallas, TX; Des Moines, IA; St Cloud, MN

Requirements

• 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 required.
• FINRA Series 63 and 65 or 66 must acquire within 6 months of start date.
• Work well individually and with a team

Nice To Haves

• FINRA Series 53 is plus

Responsibilities

• Directly oversees assigned Financial Professionals by reviewing and approving customer new accounts, daily transactions, correspondence review and compliance with Regulation Best Interest.
• Conduct customer account reviews to detect potential sales abuses.
• Discuss compliance concerns or potential violations with the representative.
• Work with the Compliance Department as needed to address regulatory concerns.
• Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general products as well as internal processes & procedures.
• Other duties as assigned, including other supervisory and/or operations functions

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+ 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: Mid Level
• Education Level: No Education Listed