Senior Supervision Specialist

Senior Supervision Specialist 

At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm’s supervisory, compliance, and risk management frameworks. We are seeking a Senior Supervision Specialist to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast‑paced, highly regulated environment. 

This is a hybrid role, based in one of Cetera’s office locations: Des Moines, IA, Dallas, TX 

What You Will Do 

The Senior Supervision Specialist serves as a senior‑level principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to: 

• Perform principal review and supervision of securities and direct business transactions across a complex book of business 
• Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity 
• Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation 
• Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations 
• Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews 
• Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions 
• Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate 
• Support training initiatives, supervision presentations, and recruiting discovery days as needed 
• Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives 
• Promote a strong culture of compliance, accountability, and risk awareness across the field 

What You Need To Have 

• Bachelor’s degree required 
• FINRA Series 7, 24, and 63 required 
• FINRA Series 65 or 66 required 
• FINRA Series 53 required (or ability to obtain within 6 months of hire if not already held) 
• 5 years of progressive securities industry experience, including significant compliance and supervisory responsibilities 
• 5 years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry 
• Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products 
• Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices 
• Strong critical‑thinking, decision‑making, and risk‑assessment skills 
• Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators 
• Demonstrated ability to operate independently in a fast‑paced, time‑sensitive, supervisory environment 
• Proven leadership mindset with the ability to influence, mentor, and support others 

What Is Nice To Have 

• Additional FINRA licenses or industry certifications 
• Insurance licenses 
• Prior independent broker‑dealer experience 
• Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace 
• Experience supporting M&A, region growth efforts, complex supervision matters, or firm‑wide initiatives 

Compensation 

The salary range for this role is $80,000 to $115,000 plus a competitive performance‑based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.