Senior Supervision Manager — Risk & Compliance Lead

Cetera Financial Group; Dallas (TX); On-site; USD 110,000 - 150,000; Full time

Benefits offered by this job

Health insurance

Paid time off

401(k) with employer contribution

Parental leave

Life insurance

Job summary

Cetera Financial Group seeks a Supervision Manager in Dallas to lead the CWS Supervision Specialists, driving risk management and regulatory compliance across OSJ activities. You will oversee multiple projects, coach leaders, and partner with senior leadership to enhance supervision programs and processes, ensuring timely, high-quality results in a dynamic broker-dealer environment.

The role requires 5–10 years in the industry, a Bachelor’s degree or equivalent, and proven leadership with strong

Qualifications

• Bachelor’s degree or equivalent work experience.
• 5–10 years industry experience.
• Previous leadership experience in a broker-dealer setting.
• Series 7, 24, 66 (52/53 and 4 preferred) or equivalent licensing.

Responsibilities

• Lead, coach, and develop a team of field-facing OSJ Supervisors.
• Oversee 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.
• Foster collaboration and strong risk management across the organization.
• Lead discussions with firm leaders on supervisory matters and escalations.
• Oversee outside business activities, PSTs, reviews, and compliance actions.

Skills

Leadership

Supervision

Project management

Risk management

Communication

Analytical thinking

Education

Bachelor’s degree or equivalent

Job description

Cetera Financial Group seeks a Supervision Manager in Dallas to lead the CWS Supervision Specialists, driving risk management and regulatory compliance across OSJ activities. You will oversee multiple projects, coach leaders, and partner with senior leadership to enhance supervision programs and processes, ensuring timely, high-quality results in a dynamic broker-dealer environment.

The role requires 5–10 years in the industry, a Bachelor’s degree or equivalent, and proven leadership with strong