Supervision Specialist
2 weeks ago
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 InspectionsOther duties as assigned, including other supervisory and/or operations functionsAn 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 $95,000, 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#J-18808-Ljbffr
by Jobble
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