• Job Description

  Req#: 5747

  Cetera Financial Group is currently seeking a Supervision Specialist. This is a unique opportunity to join our team which is responsible for the supervisory oversight of registered representatives and associated persons. The following is an overview of the functions to be performed by the Supervision Specialist. However, due to the ever-changing regulatory environment in which we operate, flexibility is required as job functions and details of the work assignments may change over time.
  This is a hybrid role located in El Segundo, CA or Dallas, TX.
  
  What you will do:

  • Support a team of Designated Supervisors responsible for reviewing customer new accounts, daily transactions, correspondence review and on-going activity.
  • Act as a liaison between the Home Office and the field to assist with problem-solving.
  • Track supervisory assignments and update workflows accordingly.
  • Maintain positive relationships with all Registered Representatives and OSJ Managers.
  • Provide ongoing education regarding the firm’s policies and procedures.
  • Ability to identify and help resolve potential sales practice concerns.
  • Other duties as assigned, including other supervisory and/or operations functions.
  • Travel less than 10% may be required.
  
  What you need to have:
  • 3+ years of supervisory or compliance experience.
  • Securities preferred (Series 7, Series 24, Series 63) or the ability to obtain these licenses within a reasonable timeframe.
  • Strong knowledge of FINRA, SEC, and State rules and regulations required.
  • Strong knowledge of mutual funds, annuities, general securities, and other financial products is required.
  • Four-year college degree is preferred.
  • Detailed research and documentation skills.
  • Excellent verbal and written communication skills.
  • Must be able to work in a team environment and support other colleagues as needed.
  • Organized and able to manage multiple projects simultaneously while meeting deadlines.
  • Team player who possesses great initiative, flexibility, excellent judgment, and is able to provide a high level of service.
  • Exceptional ability to follow instructions with minimal supervision.
  • Proficient in Microsoft Word and Excel.
  
  Compensation Range:
  The salary range for this role is $66,000- $103,000. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.

  #LI-Hybrid
  

• About the company

  Cetera Financial Group is a shared service organization serving affiliates that comprise the second-largest family of independent broker-dealers in the United States.

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