Supervision Specialist
At Cetera, we’re committed to fostering a strong culture of compliance, accountability, and operational excellence. We are seeking a Supervision Specialist to support our supervisory framework by providing principal oversight, regulatory guidance, and day‑to‑day support to financial professionals. This role is well suited for a registered principal who is detail‑oriented, collaborative, and comfortable working in a fast‑paced, time‑sensitive environment.
This is a hybrid role based in one of our office locations in Dallas, TX.
What You Will Do
Reporting to the Supervision Team Manager, the Supervision Specialist will be responsible for principal review, business oversight, and ongoing supervision support, including:
• Perform principal review and approval of trades, new business applications, and correspondence
• Review and address alerts related to advisory account exceptions
• Provide guidance to financial professionals and their staff on supervision issues, compliance requirements, industry rules, and firm policies
• Serve as a resource for new business review and general supervisory questions
• Collaborate closely with Supervision team members, Compliance, Operations, Home Office staff, and field personnel to resolve issues and support firm objectives
• Support a strong culture of compliance 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 within six months of hire
• FINRA Series 53 or 52 required within one year of hire
• Minimum of two years of supervisory and/or sales experience in the brokerage or securities industry
• Strong working knowledge of financial products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, and alternative investments
• Solid understanding of regulatory requirements, suitability standards, and industry rules
• Strong written and verbal communication skills
• Ability to prioritize, multitask, and operate effectively in a fast‑paced environment
• Collaborative mindset with a commitment to team and firm success.
What Is Nice to Have
• Additional FINRA licenses or industry certifications
• Experience with systems such as Pershing, Smarsh, Albridge, Protegent, Salesforce and Docupace
• Prior independent broker‑dealer experience
Compensation
The base annual salary range for this role is $73,000 to $100,000 plus a competitive performance‑based bonus. Actual compensation will depend on factors such as skills, experience, certifications, and geographic location
Company
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 plus 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 foster.
- 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.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers 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 by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. 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" refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC.
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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