Supervision Specialist

Cetera • Des Moines, IA

1d • $73,000 • Hybrid

About The Position

Due to the growth of our region, Cetera Wealth Partners; a region of Cetera
Advisor Networks LLC, is seeking to expand its sales supervision team. The
Supervision Specialist position offers a unique opportunity for a seasoned
industry professional to apply their knowledge and experience while performing
various business review functions in their capacity as a firm principal. This
will require a self-motivated individual with strong critical-thinking and
communication skills, who has the ability to work within a fast paced, time
sensitive environment. Further, this individual must possess a deep
understanding of the industry and the related financial products and service.

This is a hybrid role located in one of our office locations: San Deigo, CA;
Dallas TX

Requirements

• Bachelor’s degree
• FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 required within the first 6 months. FINRA 53 required within the first year
• 3+ years of relevant securities industry experience
• 2+ years supervisory and/or sales experience within the brokerage 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
• The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole
• Great customer service and communication skills
• Previous compliance, supervisory and/or sales experience within the industry
• In-depth knowledge of financial products and services
• Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required

Nice To Haves

• Additional FINRA licenses (i.e. 4, 53, 65, 66 etc.) and/or insurance license
• Other industry certifications • Prior experience with Pershing, Smarsh, Albridge, Protegent, Docupace
• Independent broker-dealer experience

Responsibilities

• Report directly to the Supervision Team Manager
• Perform principal review and supervision of securities transactions
• Provide principal review and supervision of direct business transactions
• Provide support and guidance to Financial Representatives and their staff as it relates to the business review and approval process
• Communicate and respond to Financial Representatives regarding supervision issues, compliance, industry rules, firm policies and procedures, etc.
• Work closely with other team members, departments, home office staff and field personnel to promote the overall objectives of the Firm

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