Senior Supervision Specialist - Risk & Compliance Lead

Cetera Financial Group; Dallas (TX); Hybrid; USD 75,000 - 95,000; Full time

Job summary

Cetera Financial Group in Dallas, TX is seeking a Supervision Specialist to provide principal oversight in a fast-paced, highly regulated environment. You will supervise, advise, and educate Financial Representatives, partnering with Compliance, Legal, Risk, and Home Office teams to address issues and implement solutions.

The role requires a Bachelor’s degree, FINRA licenses (7/24/63, and 65 or 66, plus 4/53 or ability to obtain within 6 months), and 3+ years of supervisory securities experience

Qualifications

• Bachelor’s degree is required.
• FINRA Series 7, 24, and 63 are required.
• FINRA Series 65 or 66 is required.
• FINRA Series 4 and 53 are required (or obtainable within 6 months).
• 3+ years of progressive securities industry experience with supervisory responsibilities.
• 3+ years of supervisory, principal, compliance, or sales leadership in brokerage.
• Working knowledge of securities products and services.
• Strong understanding of FINRA rules, regulatory requirements, and supervisory best practices.
• Strong critical-thinking, decision-making, and risk-assessment skills.
• Excellent written and verbal communication skills.
• Ability to operate independently in a fast-paced supervisory environment.

Responsibilities

• Perform principal review and supervision of securities and direct business transactions.
• Oversee Financial Representatives by reviewing and approving new accounts and trading activity.
• Provide guidance and education on supervision standards and expectations.
• Identify and address potential sales practice issues and regulatory concerns.
• Collaborate with Compliance, Legal, Risk, and Home Office teams to implement solutions.
• Discuss supervisory concerns with representatives and recommend corrective actions.
• Assist leadership with process improvements and mentoring junior staff.
• Promote a culture of compliance and risk awareness across the field.

Skills

Regulatory knowledge

Risk assessment

Compliance leadership

Communication

Independent decision making

Education

Bachelor's degree

Tools

Pershing

NFS

Smarsh

Albridge

Protegent

Salesforce

Docupace

Job description

Cetera Financial Group in Dallas, TX is seeking a Supervision Specialist to provide principal oversight in a fast-paced, highly regulated environment. You will supervise, advise, and educate Financial Representatives, partnering with Compliance, Legal, Risk, and Home Office teams to address issues and implement solutions.

The role requires a Bachelor’s degree, FINRA licenses (7/24/63, and 65 or 66, plus 4/53 or ability to obtain within 6 months), and 3+ years of supervisory securities experience