Supervision Specialist

About the role

Cetera Wealth Partners, a region of Cetera Advisor Networks LLC, is seeking to expand its sales supervision team due to the growth of its region.

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
• Support and guide Financial Representatives and their staff regarding 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

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
• The ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required

Qualifications

• Addition 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

Skills

• Self-motivated individual with strong critical-thinking and communication skills
• Ability to work within a fast-paced, time-sensitive environment
• Deep understanding of the industry and related financial products and services

Benefits

Compensation for this role in Dallas, TX and San Diego, CA ranges from $73,000 - $90,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

About Us

What We Give You In Return: Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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+ 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 fostering.
• 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.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind.

About Cetera

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.