Senior Supervision & Compliance Lead

Cetera Financial Group Inc; El Segundo (CA); Hybrid; USD 120,000 - 190,000; Full time

Job summary

Cetera Financial Group Inc. seeks a Senior Supervision Team Lead to drive oversight of the firm’s supervisory and compliance programs and to supervise Registered Representatives and OSJ Managers.

This hybrid role is based in El Segundo, CA or Dallas, TX and partners with Compliance, Licensing, Operations, IT and Field Leadership. You will review advisories and audits, maintain supervisory records, and mentor staff to uphold a strong culture of compliance and risk management.

Qualifications

• Bachelor's degree required.
• FINRA Series 7, 24, and 63 required.
• FINRA Series 65 or 66 required.
• FINRA Series 53 required (or obtain within 6 months).
• 5+ years of progressive securities industry experience with supervisory responsibilities.
• 5+ years of supervisory, principal, compliance, or sales leadership in brokerage.
• Extensive knowledge of FINRA rules and supervisory practices.

Responsibilities

• Act as escalation point for supervision and regulatory interpretation.
• Supervise Registered Representatives and OSJ Managers.
• Remediate and support OSJ audits.
• Review advisories, surveillance alerts, and branch audits.
• Maintain supervision hierarchies and records; process licensing requests.
• Provide guidance and education on supervision standards to staff.
• Promote a strong culture of compliance and risk management.

Skills

Leadership

Supervision

Compliance

Risk assessment

Communication

Mentoring

Independent work

Education

Bachelor's degree

Tools

Pershing

NFS

Smarsh

Albridge

Protegent

Salesforce

Docupace

Job description

Cetera Financial Group Inc. seeks a Senior Supervision Team Lead to drive oversight of the firm’s supervisory and compliance programs and to supervise Registered Representatives and OSJ Managers.

This hybrid role is based in El Segundo, CA or Dallas, TX and partners with Compliance, Licensing, Operations, IT and Field Leadership. You will review advisories and audits, maintain supervisory records, and mentor staff to uphold a strong culture of compliance and risk management.