Senior Supervision Lead – Compliance & Risk (Hybrid)

Cetera Financial Group; El Segundo (CA); Hybrid; USD 120,000 - 170,000; Full time

Benefits offered by this job

Health insurance

Paid time off

401(k) with company match

Job summary

Cetera Financial Group is seeking a Supervision Team Lead to provide leadership, oversight, and execution of the firm’s supervisory and compliance programs. You will directly supervise Registered Representatives and OSJ Managers, serving as a primary escalation point for supervision-related matters.

The role is hybrid, based in one of Cetera’s office locations: El Segundo, CA or Dallas, TX, collaborating with Compliance, Licensing & Registration, Operations, and IT to mitigate risk and support

Qualifications

• Bachelor’s degree required.
• FINRA licenses as listed above or ability to obtain within 6 months.
• 5+ years of progressive securities industry experience with supervisory responsibilities.
• Strong knowledge of FINRA rules, regulatory requirements, and supervisory best practices.
• Excellent written and verbal communication with regulators and staff.

Responsibilities

• Lead supervision programs and escalation point for compliance matters.
• Directly supervise Registered Representatives and OSJ Managers.
• Audit remediation, oversight of OSJ processes, and branch supervision.
• Review regulatory correspondence, terms of engagement, and supervision reports.
• Partner with Compliance, Operations, IT, and Field Leadership to mitigate risk.

Skills

Leadership

Supervision

Regulatory knowledge

Risk assessment

Communication

Education

Bachelor's degree

FINRA Series 7/24/63/65/66

FINRA 53 (or ability to obtain)

Tools

Salesforce

Docupace

Pershing

NFS

Smarsh

Albridge

Protegent

Job description

Cetera Financial Group is seeking a Supervision Team Lead to provide leadership, oversight, and execution of the firm’s supervisory and compliance programs. You will directly supervise Registered Representatives and OSJ Managers, serving as a primary escalation point for supervision-related matters.

The role is hybrid, based in one of Cetera’s office locations: El Segundo, CA or Dallas, TX, collaborating with Compliance, Licensing & Registration, Operations, and IT to mitigate risk and support