What are the responsibilities and job description for the Supervision Specialist position at Candidate Experience site?
As a fundamental member of Cetera Institutions, you’ll actively contribute to upholding the integrity and security of our financial operations while fostering a culture of compliance and continuous improvement. This is a unique opportunity to help Financial Professionals by making them aware of sale practice issues from a supervision perspective. We are currently seeking a Supervision Specialist to add to our team in one of our office locations for a hybrid model. Candidates must be located in Dallas, TX or St Cloud, MN.
What you will do:
Directly oversees assigned Financial Professionals by reviewing and approving customer new accounts, daily transactions, correspondence review and compliance with Regulation Best Interest.
Conduct customer account reviews to detect potential sales abuses.
Discuss compliance concerns or potential violations with the representative.
Work with the Compliance Department as needed to address regulatory concerns.
Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general products as well as internal processes & procedures.
Other duties as assigned, including other supervisory and/or operations functions
What you need to have:
3 year of compliance or relevant securities experience
3 year of experience and a strong understanding of securities products including stocks, bonds, options, annuities, and mutual funds
FINRA Series 7, 24 required.
FINRA Series 63 and 65 or 66 must acquire within 6 months of start date.
FINRA Series 53 is plus
Work well individually and with a team
Compensation:
The base annual salary range for this role is $64,000 to $94,000, 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
Salary : $64,000 - $94,000