Supervision Specialist

Cetera Financial Group • Des Moines, IA

1d • $73,000 - $90,000 • 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 501-1,000 employees