What You Will Do
The Supervision Specialist serves as a 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
• 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
• 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 4 and 53 required (or ability to obtain within 6 months of hire if not already held)
• 3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
• 3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
• 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
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
Skills Required
- Bachelor's degree
- FINRA Series 7, 24, and 63 licenses
- FINRA Series 65 or 66 license
- FINRA Series 4 and 53 licenses, or ability to obtain within six months of hire
- At least three years of progressive securities industry experience, including significant compliance and supervisory responsibilities
- At least three years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
- 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
- Ability to work independently in a fast-paced, time-sensitive supervisory environment
- Additional FINRA licenses or industry certifications
- Insurance licenses
- Independent broker-dealer experience
- Experience with Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce, and Docupace
- Experience supporting M&A, regional growth efforts, complex supervision matters, or firm-wide initiatives
Cetera Financial Group Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Cetera Financial Group and has not been reviewed or approved by Cetera Financial Group.
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Healthcare Strength — Health coverage is described as comprehensive, including medical, dental, vision, mental‑health support, and optional pet insurance. Feedback suggests the breadth of coverage is a relative strength.
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Leave & Time Off Breadth — Time off includes a sizable PTO allotment with paid holidays, a dedicated wellness day, and a paid volunteer day. Feedback suggests the time‑off package exceeds basic employer offerings.
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Retirement Support — Retirement support includes a 401(k) with company match and access to one‑on‑one financial planning. Feedback suggests the retirement program can be competitive, though specifics may depend on role or plan.
Cetera Financial Group Insights
What We Do
Cetera Financial Group empowers the delivery of professional financial advice to individuals, families and company retirement plans across the country. We support independent and institutions-based advisors, tax professionals, and bank and credit union investment programs, ensuring they have the objective research, regulatory guidance, technology, tools and resources they need to help them and their clients pursue their dreams for the future. While our multiple distinct firms allow us to customize how we serve the needs of each advisor and investment program, all are united through our exclusive Advice-Centric Experience™, which makes the delivery of financial insight and advice more efficient, more transparent, and more human. Cetera Financial Group” refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC. Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services
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