Supervision Team Lead

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

Job Description

The Supervision Team Lead is responsible for providing leadership, oversight, and execution of the firm's supervisory and compliance programs. This role directly supervises assigned Registered Representatives and OSJ Managers, serves as a primary escalation point for supervision-related matters, and ensures regulatory, firm, and supervisory requirements are consistently applied across the organization. The Team Lead partners closely with Compliance, Licensing & Registration, Operations, Information Security, Relationship Management, and Field Leadership to mitigate risk, support business growth, and maintain a strong culture of supervision

Job Description

The Supervision Team Lead is responsible for providing leadership, oversight, and execution of the firm's supervisory and compliance programs. This role directly supervises assigned Registered Representatives and OSJ Managers, serves as a primary escalation point for supervision-related matters, and ensures regulatory, firm, and supervisory requirements are consistently applied across the organization. The Team Lead partners closely with Compliance, Licensing & Registration, Operations, Information Security, Relationship Management, and Field Leadership to mitigate risk, support business growth, and maintain a strong culture of supervision

This is a hybrid role, based in one of Cetera’s office locations: El Segundo, CA, Dallas, TX

Key Responsibilities

Leadership & Supervision

• 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
• Directly supervise assigned Representatives and OSJ Managers.
• Remediate and provide support in OSJ audits
• Act as liaison to Growth, Relationship Management, Compliance, Operations, and IT teams.
• Review email correspondence for financial professionals and associated persons
• Review Salesforce cases and escalated supervision requests.
• Monitor and investigate off-channel communications, advisor security incidents, and heightened supervision matters
• Review advisory surveillance alerts including concentration, risk variance, and single security concentration.
• Review and approve OBAs, Private Securities Transactions (PSTs), sponsor fund requests, Political Contributions and trustee/POA activities.
• Conduct PinPoint reviews for advertising, correspondence, gifts, check blotters, ACRs, and branch audits.
• Review BIC, rollover, CRS, and other supervisory exception reports.
• Process licensing and registration requests, onboarding packages, process terminations, and U4 updates through the L&R tool.
• Maintain supervision hierarchies and related supervisory records.
• Process Letters of Indemnity and other supervision-related documentation.
• Manage disciplinary investigations, documentation, and enforcement actions.
• Issue Letters of Education (LOE), Letters of Caution (LOC), fines, and representative terminations as appropriate
• Oversee tracking and remediation of off-channel, branch audit, OBA, and advisor security violations.
• Assist and partner in department projects or enhancements to our supervisory systems
• 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
• Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations

What You Need To Have

• Bachelor’s degree required
• FINRA Series 7, 24, and 63 required
• FINRA Series 65 or 66 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
• Strong critical thinking, decision making, and risk assessment skills
• 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
• Insurance licenses
• Prior independent broker dealer experience
• 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

About Us

ABOUT US

What We Give You In Return

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note

this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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