Senior Supervision Specialist

Cetera Financial Group; Des Moines (IA); Hybrid; USD 80,000 - 115,000; Full time

Job summary

Cetera Financial Group is seeking a Senior Supervision Specialist in Des Moines, IA. This hybrid role requires advanced oversight, expertise in compliance and risk management, and at least 5 years of experience in the securities industry. Responsibilities include reviewing securities transactions, guiding Financial Representatives, and ensuring adherence to compliance standards. The compensation ranges from $80,000 to $115,000, depending on experience and skills, plus performance-based bonuses.

Qualifications

• FINRA Series 7, 24, and 63 required.
• 5+ years of supervisory or compliance experience within brokerage.
• Advanced knowledge of securities products and FINRA rules.

Responsibilities

• Perform principal review and supervision of securities transactions.
• Oversee Financial Representatives by approving accounts and transactions.
• Act as subject matter expert for supervision and compliance issues.

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 63

5+ years of progressive securities industry experience

Excellent written and verbal communication skills

Tools

Salesforce

Pershing

Docupace

Job description

At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm’s supervisory, compliance, and risk management frameworks. We are seeking a Senior Supervision Specialist to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast‑paced, highly regulated environment.

This is a hybrid role, based in one of Cetera’s office locations: Des Moines, IA, Dallas, TX

What You Will Do

• Perform principal review and supervision of securities and direct business transactions across a complex book of business
• Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity
• Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation
• Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations
• Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews
• Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions
• Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate
• Support training initiatives, supervision presentations, and recruiting discovery days as needed
• Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives
• Promote a strong culture of compliance, accountability, and risk awareness across the field

What You Need To Have

• FINRA Series 7, 24, and 63 required
• FINRA Series 53 required (or ability to obtain within 6 months of hire if not already held)
• 5+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
• 5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
• Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products
• Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices
• Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators
• Demonstrated ability to operate independently in a fast‑paced, time‑sensitive, supervisory environment
• Proven leadership mindset with the ability to influence, mentor, and support others

What Is Nice to Have

• Additional FINRA licenses or industry certifications
• Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace
• Experience supporting M&A, region growth efforts, complex supervision matters, or firm‑wide initiatives

Compensation

The salary range for this role is $80,000 to $115,000 plus a competitive performance‑based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.