Supervision Specialist

1 week ago

Denver, Colorado, United States Cetera Financial Group Full time
Job Description

Cetera Financial Group is currently seeking a Supervision Specialist. This is a unique opportunity to join our team that is responsible for the supervisory oversight of registered representatives and associated persons under their jurisdiction. The following is an overview of the functions to be performed by the Supervision Specialist. However, due to an 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 either our Denver, CO or San Diego, CA office.

What you will do:
  • Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and on-going activity.
  • Conduct customer account reviews to detect potential sales abuses.
  • Discuss compliance concerns or potential violations with representatives.
  • Work with the Compliance Department as needed to address regulatory concerns.
  • Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
  • 15% travel to conduct Branch Office Inspections
  • Other duties as assigned, including other supervisory and/or operations functions
  • An engaged professional who is asking the right questions and collaborating with colleagues.
  • Organized and able to manage multiple projects simultaneously while meeting deadlines.
  • Ability to develop a strong opinion and defend it against challenge.
What you need to have:
  • 5+ years of financial services experience is desired, preferably in a supervision or compliance role.
  • Securities licenses required (Series 7, Series 24, Series 63, Series 65 or 66). Securities licenses preferred (Series 4, Series 51 or 53) or the ability to obtain these licenses within a reasonable timeframe.
  • Personable and reliable self-starter who requires minimal management oversight for day-to-day work responsibilities.
  • Basic knowledge of mutual funds, annuities, general securities, and other financial products.
  • Four-year college degree preferred.
  • Excellent verbal and written communications skills.
  • Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service.
  • Proficient in MS Office skills including Excel, SharePoint, Word and Power Point.
Compensation:

The base annual salary range for this role is $75,0000 to $105,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

#LI-Hybrid

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 days of paid volunteer time off (VTO) 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
About Cetera Financial Group:

Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. 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" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.

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 the 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.

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