The Supervision Specialist will focus primarily on principal review, business oversight, and other related tasks including but not limited to: Report directly to the Supervision Team Manager Perform principal review and supervision of securities transactions Provide principal review and supervision of direct business transactions Provide support and guidance to Financial Representatives and their staff as it relates to the business review and approval process Communicate and respond to Financial... more details
Cetera Advisor Networks LLC is seeking to expand its sales supervision team. The Supervision Specialist position offers a unique opportunity for a seasoned industry professional to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical thinking and communication skills, who has the ability to work within a fast-paced, time-sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services. We are currently looking for a Supervision Specialist to add to our team in one of our office locations: El Segundo, CA; San Diego, CA; Denver, CO, Enfield, CT; Schaumburg, IL; Des Moines, IA; St Paul, MN; Atalanta, GA; St Cloud, MN; Boca Raton, FL.
What you will do:
The Supervision Specialist will focus primarily on principal review, business oversight, and other related tasks including but not limited to:
- Report directly to the Supervision Team Manager
- Perform principal review and supervision of securities transactions
- Provide principal review and supervision of direct business transactions
- Provide support and guidance to Financial Representatives and their staff as it relates to the business review and approval process
- Communicate and respond to Financial Representatives regarding supervision issues, compliance, industry rules, firm policies, and procedures, etc.
- Provide guidance and oversight to field OSJ Managers.
- Work closely with other team members, departments, home office staff, and field personnel to promote the overall objectives of the Firm
What you need to have:
- Bachelor’s degree
- FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 and 53 is required within the first 6 months.
- 3+ years of relevant securities industry experience
- 2+ years of supervisory and/or sales experience within the brokerage industry
- Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
- Deep understanding of industry rules governing transactions and suitability
- Excellent technology, communication, and relationship skills
- The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole
What is nice to have:
- Additional FINRA licenses (i.e. 4, 65, 66 etc.) and/or insurance license
- Other industry certifications
- Prior experience with Pershing, Smarsh, Pinpoint, Albridge, Protegent, Docupace
- Independent broker-dealer experience
- Great customer service, communication, and relationship skills
- Previous compliance, supervisory and/or sales experience within the industry
- In-depth knowledge of financial products and services
- Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required
Compensation:
The base annual salary range for this role is $70,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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