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Supervision Specialist

Cetera Financial Group

Posted on: 24 Mar 2024

Job Location: El Segundo, US

Job Description:

Job Description

Cetera Advisor Networks LLC is seeking to expand its sales supervision team. The Supervision Specialist position offers a unique opportunity for a seasoned industry professional to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical thinking and communication skills, who has the ability to work within a fast-paced, time-sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services. We are currently looking for a Supervision Specialist to add to our team in one of our office locations: El Segundo, CA; San Diego, CA; Denver, CO, Enfield, CT; Schaumburg, IL; Des Moines, IA; St Paul, MN; Atalanta, GA; St Cloud, MN; Boca Raton, FL.

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 Supervision Team Manager
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.
Provide guidance and oversight to field OSJ Managers.
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:

Bachelor's degree
FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 and 53 is required within the first 6 months.
3+ years of relevant securities industry experience
2+ years of supervisory and/or sales experience within the brokerage industry
Strong 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, communication, and relationship 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

What is nice to have:

Additional FINRA licenses (i.e. 4, 65, 66 etc.) and/or insurance license
Other industry certifications
Prior experience with Pershing, Smarsh, Pinpoint, Albridge, Protegent, Docupace
Independent broker-dealer experience
Great customer service, communication, and relationship skills
Previous compliance, supervisory and/or sales experience within the industry
In-depth knowledge of financial products and services
Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required

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.

#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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