Supervision Specialist

Cetera • Dallas, TX

14h • Hybrid

About The Position

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

• 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