Supervision Specialist

Cetera • Dallas, TX

1d • $73,000 - $103,000 • Hybrid

About The Position

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. This is a hybrid role located in Dallas, TX.

Requirements

• Bachelor’s degree.
• FINRA Series 7, 24, and 63 licenses required; Series 65/66 within 6 months; Series 53/52 within 1 year of hire. Series 4 preferred.
• 3+ years of relevant securities industry experience
• 2+ years of supervisory and/or sales experience within the brokerage and securities industry.
• 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.

Nice To Haves

• Additional industry certifications, Insurance License and FINRA Licenses.
• Experience with Pershing, Smarsh, Albridge, Protegent, Docupace, Salesforce, NetX360
• Independent broker-dealer experience.

Responsibilities

• 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.

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: Mid Level
• Number of Employees: 251-500 employees