Supervision Specialist
Cetera Financial Group•Dallas, TX
•Hybrid
About The Position
Supervision Specialist At Cetera, we’re committed to fostering a strong culture of compliance, accountability, and operational excellence. We are seeking a Supervision Specialist to support our supervisory framework by providing principal oversight, regulatory guidance, and day‑to‑day support to financial professionals. This role is well suited for a registered principal who is detail‑oriented, collaborative, and comfortable working in a fast‑paced, time‑sensitive environment. This is a hybrid role based in one of our office locations in Dallas, TX .
Requirements
- Bachelor’s degree required
- FINRA Series 7, 24, and 63 required
- FINRA Series 65 or 66 required within six months of hire
- FINRA Series 53 or 52 required within one year of hire
- Minimum of two years of supervisory and/or sales experience in the brokerage or securities industry
- Strong working knowledge of financial products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, and alternative investments
- Solid understanding of regulatory requirements, suitability standards, and industry rules
- Strong written and verbal communication skills
- Ability to prioritize, multitask, and operate effectively in a fast‑paced environment
- Collaborative mindset with a commitment to team and firm success.
Nice To Haves
- Additional FINRA licenses or industry certifications
- Experience with systems such as Pershing, Smarsh, Albridge, Protegent, Salesforce and Docupace
- Prior independent broker‑dealer experience
Responsibilities
- Perform principal review and approval of trades, new business applications, and correspondence
- Review and address alerts related to advisory account exceptions
- Provide guidance to financial professionals and their staff on supervision issues, compliance requirements, industry rules, and firm policies
- Serve as a resource for new business review and general supervisory questions
- Collaborate closely with Supervision team members, Compliance, Operations, Home Office staff, and field personnel to resolve issues and support firm objectives
- Support a strong culture of compliance and risk awareness across the field.
Benefits
- competitive performance‑based bonus
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
