Senior Supervision Manager: Risk & Compliance Lead

Cetera Financial Group Inc; Dallas (TX); On-site; USD 120,000 - 160,000; Full time

Job summary

Cetera Financial Group Inc is seeking a Supervision Manager to lead the CWS Supervision Specialists team in Dallas. You will guide field supervision activities, balance competing priorities, and drive risk-aware initiatives across the organization.

The role requires strong leadership, project management, and communication skills to partner with senior leaders and ensure consistent, compliant supervision practices across OSJ offices.

Qualifications

• Bachelor's degree or equivalent work experience.
• 5-10 years Industry experience.
• Previous leadership experience.
• Broker Dealer supervision experience.
• Series 7, 24, 66 (52/53 & 4 preferred).
• Attention to detail.
• 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.

Responsibilities

• 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.
• Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including OBAs, 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.

Skills

Leadership

Project management

Communication

Relationship management

Influencing

Risk management

Analytical thinking

Change leadership

Team coaching

Attention to detail

Education

Bachelor's degree or equivalent work experience

Broker Dealer supervision experience

5-10 years industry experience

Job description

Cetera Financial Group Inc is seeking a Supervision Manager to lead the CWS Supervision Specialists team in Dallas. You will guide field supervision activities, balance competing priorities, and drive risk-aware initiatives across the organization.

The role requires strong leadership, project management, and communication skills to partner with senior leaders and ensure consistent, compliant supervision practices across OSJ offices.