What You Will Do
The Supervision Specialist serves as a principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to:
• 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
• 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
• 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
• Bachelor’s degree required
• FINRA Series 7, 24, and 63 required
• FINRA Series 65 or 66 required
• FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held)
• 3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
• 3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
• 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
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
Job details are sourced from the employer's original posting.
Open job postingAbout the company
Cetera Investors is a financial services firm that provides investment and financial planning services to individuals and businesses. They offer a range of solutions to help clients achieve their financial goals.