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Supervision Specialist

4 months ago

Enfield, United States Cetera Financial Group Full time

As Cetera is expanding our sales supervision team. We're looking for professionals to join us as Supervision Specialists, a key role that involves serving as firm principals and overseeing various business review functions.

The ideal candidate is a seasoned industry veteran with a strong foundation in financial products and services, along with excellent critical thinking and communication skills. Success in this role requires a self-starter who can thrive in a fast-paced, high-pressure environment. If you're ready to leverage your industry expertise to contribute to our expanding team, we invite you to apply.

This person must be willing to work East Coast hours. This is a hybrid role working remotely in combination with required in-person attendance in one of our office locations.

What you will do:

The Supervision Specialist will focus primarily on principal review, business oversight and other related tasks including but not limited to:

  • Report directly to the Director of Compliance/Supervision
  • 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 you need to have:

  • Bachelors degree
  • FINRA Series 7, Series 24, Series 63 or Series 66
  • 2+ years of relevant Securities industry experience
  • 2+ years of Supervisory, Compliance, and/or sales experience within the brokerage industry
  • Strong, in-depth 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
  • Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required

What is nice to have:

  • Additional FINRA licenses (i.e. 4, 53, 65) and/or insurance licenses (some required-must be willing to get within a specific time period of start date)
  • Other industry certifications
  • Prior experience with Pershing, Smarsh, Albridge, Protegent, Docupace
  • Independent broker-dealer experience

Compensation:

The base annual salary range for this role is $70,000 to $85,000, 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.

ABOUT US

What we give you in return:

Not many teams can say that they support peoples dreams coming to life We happen to do that every day. And as important as we know your career is, we recognize that theres 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, 1 paid wellness day and 1 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 AdvisorsCetera Advisor NetworksCetera 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 Ceteras 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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