Supervision Specialist
2 weeks ago
Cetera Financial Group is currently seeking a Supervision Specialist for Cetera Investment Services. This is a unique opportunity to help advisors by making them aware of sales practice issues from a supervision perspective.
This is a hybrid role, two days weekly in the office.
What you will do:
- Timely review of surveillance and suitability determinations for variable annuities, equity-indexed annuities, & fixed annuities 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 Supervision Team as assigned.
- Assist with fulfilling document requests during regulatory audits and other regulatory and legal inquiries.
What you need to have:
- FINRA Series 7, 24, and 63 securities licenses and willing to obtain an insurance license
- Minimum 2-5 years of supervisory or compliance experience
- Superior written and verbal communication skills
- Must be able to work in a team environment and support other colleagues as needed.
- Cross-training with other employees within the team is required.
- Must be able to prioritize and handle multiple tasks and deadlines simultaneously
What is nice to have:
- Annuity investment suitability review experience preferred
- Four-year college degree preferred
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 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.
-
Supervision Specialist
4 days ago
el segundo, United States Cetera Financial Group Full timeCetera Financial Group is currently seeking a Supervision Specialist for Cetera Investment Services. This is a unique opportunity to help advisors by making them aware of sales practice issues from a supervision perspective. This is a hybrid role, two days weekly in the office. What you will do:Timely review of surveillance and suitability determinations for...
-
Supervision Specialist
2 weeks ago
el segundo, United States Cetera Financial Group Full timeCetera Financial Group is currently seeking a Supervision Specialist for Cetera Investment Services. This is a unique opportunity to help advisors by making them aware of sales practice issues from a supervision perspective. This is a hybrid role, two days weekly in the office. What you will do:Timely review of surveillance and suitability determinations for...
-
Customs Clearance Specialist
4 weeks ago
El Segundo, California, United States Morrison Express Full timeJob DescriptionAs a Customs Clearance Specialist at Morrison Express, you will play a critical role in ensuring the smooth importation of goods. Your primary responsibility will be to prepare and submit necessary documents to customs authorities, ensuring compliance with all relevant regulations, laws, and trade agreements.Key Responsibilities:Prepare and...
-
Product Operations Specialist
4 weeks ago
El Segundo, California, United States MotorTrend Group Full timeJob Title: Product Operations SpecialistMotorTrend Group is seeking a highly skilled Product Operations Specialist to join our team. As a key member of our operations team, you will be responsible for ensuring the smooth operation of our product and services.Key Responsibilities:Customer problem management, including escalating to Product and Tech teamsApp...
-
Customs Clearance Specialist
4 weeks ago
El Segundo, California, United States Morrison Express Full timeJob DescriptionMorrison Express is seeking a highly skilled Customs Clearance Specialist to join our team. As a key member of our import team, you will be responsible for ensuring the smooth and efficient clearance of goods through customs.Key Responsibilities:Documentation Preparation and Submission - Prepare and submit accurate and complete documentation...
-
Security Specialist II
4 weeks ago
El Segundo, California, United States ManTech Full timeJob Title: Security Specialist IIManTech International Corporation is seeking a motivated and customer-oriented Security Specialist II to join our team in the El Segundo, CA area.Job Summary:The Security Specialist II will provide multi-disciplined security support to a customer's facility and organization. The position will provide day-to-day support for...
-
Physical Security Specialist
4 weeks ago
El Segundo, California, United States The Aerospace Corporation Full timeAbout the RoleThe Aerospace Corporation is seeking a highly skilled Physical Security Specialist to join our team. As a key member of our Security and Safety department, you will be responsible for ensuring the successful implementation of security programs and protocols to safeguard people, information, and assets.Key ResponsibilitiesCollaborate with...
-
Personnel Security Specialist
4 weeks ago
El Segundo, California, United States ManTech Full timeSecure Our Nation's FutureManTech is seeking a highly motivated and career-oriented Personnel Security Specialist to support our team in El Segundo, CA.The Personnel Security Specialist will be responsible for handling personnel security functions in support of our customer's facility and organization. The position will provide day-to-day PERSEC services for...
-
Acquisition Security Specialist
3 weeks ago
El Segundo, California, United States ManTech Full timeJob SummaryManTech is seeking a highly skilled Acquisition Security Specialist to support our team in El Segundo, CA. The ideal candidate will assist the Government Program Manager in developing and implementing comprehensive program protection methodologies to safeguard advanced technology programs throughout their lifecycle.Key ResponsibilitiesConduct...
-
Personnel Security Specialist
3 weeks ago
El Segundo, California, United States ManTech Full timeJob SummaryWe are seeking a highly motivated and experienced Personnel Security Specialist to join our team at ManTech. The successful candidate will be responsible for handling personnel security functions in support of our customer's facility and organization.Key ResponsibilitiesMaintain various daily logs for administrative functions associated with...
-
Network Security Specialist
3 weeks ago
El Segundo, California, United States ManTech Full timeJob Summary:ManTech International Corporation is seeking a highly skilled Network Security Specialist to join our team in El Segundo, CA. As a key member of our team, you will be responsible for providing day-to-day support for Collateral, Sensitive Compartmented Information (SCI), and Special Access Program (SAP) activities.Key Responsibilities: Install,...
-
El Segundo, California, United States The Aerospace Corporation Full timeThe Aerospace Corporation is a trusted partner to the nation's space programs, delivering innovative solutions that span satellite, launch, ground, and cyber systems for defense, civil, and commercial customers. As a Missile Warning and Tracking Operations Development Specialist, you will play a pivotal role in the transition to a new Overhead Persistent...
-
Physical Security/Industrial Security Specialist
4 weeks ago
El Segundo, California, United States ManTech Full timeSecure our Nation, Ignite your FutureWe are seeking a highly motivated and customer-oriented Physical Security/Industrial Security Specialist to join our team in El Segundo, CA.This position provides physical security (PS), industrial security, and cybersecurity support for collateral, SCI, and SAP systems in accordance with ICD, DODM, legacy DCID/JAFAN, and...
-
Tax Manager
4 weeks ago
El Segundo, California, United States Moss Adams LLP Full timeEmpowering Tax Professionals in Real EstateMoss Adams LLP is a leading accounting and consulting firm that champions authenticity and fosters a culture of talented individuals who care. As a Tax Manager - Real Estate, you will play a crucial role in delivering quality tax solutions to public and privately owned middle-market companies, not-for-profit...
-
Electrical and Instrumentation Specialist
3 weeks ago
El Segundo, California, United States NRG Full timeJob SummaryWe are seeking a skilled Instrument & Electrical Technician to join our team at NRG. As an NRG employee, you will have the opportunity to take charge of your career and development journey.Key ResponsibilitiesProvide maintenance support to troubleshoot, calibrate, and maintain all instrumentation and electrical associated with the boiler, turbine,...
-
Utility Maintenance Specialist
4 weeks ago
El Segundo, California, United States CCS Facility Services Full timeJob SummaryThe Utility Engineer is responsible for ensuring the efficient operation and maintenance of building systems, facilities, and properties. This includes office buildings, retail spaces, and common areas. The ideal candidate will have 2-3 years of commercial maintenance experience and be able to work independently with minimal supervision.Key...
-
Tax Manager
4 weeks ago
El Segundo, California, United States Moss Adams LLP Full timeAbout the RoleMoss Adams LLP is seeking a highly skilled Tax Manager - Real Estate to join our team. As a key member of our Tax Services group, you will be responsible for providing expert tax advice to our clients in the real estate industry.Key ResponsibilitiesAdvise clients on corporate, partnership, individual, and trust and estate tax servicesOversee...
-
Warehouse Operations Specialist
4 weeks ago
El Segundo, California, United States Morrison Express Full time{"h1": "Warehouse Associate Job Description"} Job Summary We are seeking a highly motivated and detail-oriented Warehouse Associate to join our team at Morrison Express. As a key member of our warehouse operations, you will be responsible for ensuring the efficient and safe movement of goods throughout our facility. Key Responsibilities * Assist in...
-
El Segundo, California, United States NRG Full timeJob SummaryWe are seeking a skilled Instrumentation and Electrical Technician to join our team at NRG Energy. As an NRG employee, you will have the opportunity to take charge of your career and development journey, exploring exciting opportunities across our businesses.Key ResponsibilitiesProvide maintenance support to troubleshoot, calibrate, and maintain...
-
CNC Machinist Specialist
3 weeks ago
El Segundo, California, United States Trio Manufacturing Full timeJob OverviewCNC Lathe Programmer and/or Mill-Turn Programmer - El Segundo, CABecome a Machining Master with TrioAre you a skilled Lathe VTL machinist looking to work on cutting-edge technology in a state-of-the-art facility? Join Trio and take your career to new heightsWhat We Offer:Industry-Leading Equipment: Work with brand-new Matsuura 5-axis machining...
