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 : Enfield, CT;

Atlanta, GA; Boca Raton, FL; Schaumburg, IL; St Paul; MN; Des Monies, IA; St Cloud, MN; Dallas, TX; Denver, CO; San Diego, CA; El Segundo, CA.

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 :

• Bachelor’s 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.)
• 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.

LI-Hybrid

Last updated : 2024-05-10