Hybrid Supervision Specialist - Risk & Compliance Lead

Cetera Financial Group Inc; Dallas (TX); Hybrid; USD 75,000 - 95,000; Full time

Job summary

Cetera Financial Group Inc seeks a Supervision Specialist in the Dallas, TX area for a hybrid role. You will provide principal oversight across complex supervision functions, guiding Financial Representatives and coordinating with Compliance, Legal, and Risk teams to uphold regulatory standards.

The ideal candidate has a Bachelor’s degree and multiple FINRA licenses with 3+ years in securities and supervisory leadership, capable of independent, time-sensitive decision-making in a fast-paced

Qualifications

• 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).
• 3+ years of progressive securities industry experience.
• 3+ years of supervisory, principal, compliance, or sales leadership experience.

Responsibilities

• 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, and ongoing account activity.
• Provide guidance, coaching, and education to Financial Representatives on supervision standards and firm expectations.
• Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews.
• Partner with Compliance, Legal, Risk, Operations, Supervision leadership and Home Office teams to address issues and implement solutions.
• Discuss supervisory concerns or potential violations 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.

Skills

Regulatory knowledge

Leadership

Risk assessment

Communication

Education

Bachelor’s degree

Tools

Pershing

NFS

Smarsh

Albridge

Protegent

Salesforce

Docupace

Job description

Cetera Financial Group Inc seeks a Supervision Specialist in the Dallas, TX area for a hybrid role. You will provide principal oversight across complex supervision functions, guiding Financial Representatives and coordinating with Compliance, Legal, and Risk teams to uphold regulatory standards.

The ideal candidate has a Bachelor’s degree and multiple FINRA licenses with 3+ years in securities and supervisory leadership, capable of independent, time-sensitive decision-making in a fast-paced