Supervision Specialist
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.
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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
