Supervision Specialist
3 months ago
At Cetera we need detailed thinkers to help us deliver quality and value to our clients. As an experienced analyst, you know how to uncover trends and tell meaningful stories through data. You collect, organize, and interpret information with ease and understand the impact your insights have on our business. We are looking for a seasoned and experienced Annuity Supervision Specialist. The successful candidate will provide timely review of surveillance and suitability determinations for variable annuity purchases, equity-indexed annuities, and structured/hybrid annuities 1035 exchange/replacements services and activities conducted by persons under the firm's supervision; approve responses to surveillance alerts by reviewing client information, account activity, documentation, and client disclosure letters; and complete new projects for the Complex Product Team as assigned. This position Hybrid, based out of one of our following offices: Des Moines, IA, St. Paul, MN, Dallas, TX, Atlanta, GA, El Segundo, CA, Denver, CO.
What you will do:
- Timely review of surveillance and suitability determinations for variable annuity purchases, equity-indexed annuities, structured/hybrid annuities 1035 exchange/replacements services and activities conducted by persons under the firm's supervision.
- Approve responses to surveillance alerts by reviewing client information, account activity, documentation, and client disclosure letters.
- Complete new projects for the Complex Product Team as assigned.
- Assist with the fulfillment of document requests during regulatory audits and other regulatory and legal inquiries.
- Work in a team environment that allows for and encourages spontaneous collaboration.
- Embrace a dynamic environment where challenges will require flexibility and new ideas.
- Evidence solid judgement and decision-making skills to be properly empowered to address concerns that arise.
- FINRA Series 7, 24 and 63 securities licenses or equivalents preferred.
- Annuity investment suitability review experience preferred.
- Minimum 2-5 years supervisory or compliance experience
- Four-year college degree preferred.
- Superior written and verbal communication skills
#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, 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 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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