Supervision Specialist

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