Manager, Supervision

Cetera Financial Group; Dallas (TX); On-site; USD 110,000 - 170,000; Full time

Benefits offered by this job

Health insurance

Paid time off (PTO)

401(k) plan with company match

Parental leave

Mental health benefits

Life insurance

Job summary

You will oversee OBAs, PSTs, licensing, and investigations while fostering collaboration and strong relationships company-wide.

Qualifications

• Bachelor's degree or equivalent work experience.
• 5-10 years industry experience.
• Previous leadership experience.
• Securities licenses: Series 7, 24, 66 (52/53 & 4 preferred).
• Ability to create and teach new and existing processes.
• Ability to foster a collaborative work environment.
• Leadership experience in supervisory/compliance/risk management roles.
• Strong project management skills to prioritize multiple demands.
• Excellent communication, relationship management, and influencing skills.

Responsibilities

• Lead, coach, and develop a team of field-facing OSJ Supervisors.
• Oversee team workloads, priorities and performance for timely execution.
• Manage multiple concurrent projects and initiatives.
• Lead strategic supervision initiatives and process improvements.
• Partner with senior leadership to support internal partners and field offices.
• Build relationships across the organization to drive collaboration and risk management.
• Lead discussions with firm leaders on supervisory matters and escalations.
• Provide oversight for supervision functions including OBAs, PSTs, reviews, licensing, complaints, and surveillance.

Job description

The Supervision Manager is responsible for the direct leadership and oversight of the CWS Supervision Specialists team. This role manages both scheduled and ad hoc projects across team members with competing priorities while ensuring the timely and effective execution of supervision activities. The Supervision Manager will also serve as the lead for key supervision initiatives and play a critical role in supporting the firm's risk management, compliance, and supervisory programs

What You'll Do:

• Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities.
• Oversee team workloads, priorities, and performance to ensure high-quality and timely execution of supervisory responsibilities.
• Manage multiple concurrent projects and initiatives, balancing scheduled deliverables and emerging business needs.
• Serve as the primary lead for strategic supervision initiatives and process improvements.
• Partner with senior leadership to ensure the supervision organization effectively supports internal business partners and field offices.
• Build strong relationships across the organization to drive collaboration, consistency, and effective risk management.
• Lead and facilitate discussions with firm leaders regarding supervisory matters, escalations, and business initiatives.
• Supervisory Functions Oversight:
• Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including outside business activities (OBAs), private securities transactions (PSTs), correspondence review, registration and licensing requirements, complaint triage, new OSJ training, annual advisory client reviews, policy violation investigations and disciplinary actions, surveillance escalations, trade reviews, and new business reviews.

What You Need to Have:

• Bachelor's degree or equivalent work experience
• 5-10 years Industry experience
• Previous leadership experience
• Series 7, 24, 66 (52/53 & 4 preferred)
• Ability to create and teach new and existing processes.
• Ability to foster a collaborative work environment.
• Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment.
• Strong project management skills with the ability to prioritize multiple competing demands.
• Excellent communication, relationship management, and influencing skills.
• Proven ability to collaborate effectively at all levels of an organization, including senior leadership.
• Strong analytical and problem-solving capabilities with a focus on risk identification and resolution.
• Ability to lead through change and drive continuous process improvement.

What's Nice to Have:

• Proficient in Microsoft Excel/Power point
• Ability to present in front of small and large groups.

About Us

What we give you in return:

Not many teams can say that they support people's dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note

this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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