<p>At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm's supervisory, compliance, and risk management frameworks. We are seeking a Senior Supervision Specialist to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast-paced, highly regulated environment.</p> <p>This is a hybrid role, based in one of Cetera's office locations: Des Moines, IA, Dallas, TX</p> <p>What You Will Do</p> <p>The Senior Supervision Specialist serves as a senior-level principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to:</p> <ul> <li>Perform principal review and supervision of securities and direct business transactions across a complex book of business </li><li>Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity </li><li>Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation </li><li>Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations </li><li>Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews </li><li>Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions </li><li>Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate </li><li>Support training initiatives, supervision presentations, and recruiting discovery days as needed </li><li>Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives </li><li>Promote a strong culture of compliance, accountability, and risk awareness across the field </li></ul> <p>What You Need To Have</p> <ul> <li>Bachelor's degree required </li><li>FINRA Series 7, 24, and 63 required </li><li>FINRA Series 65 or 66 required </li><li>FINRA Series 53 required (or ability to obtain within 6 months of hire if not already held) </li><li>5+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities </li><li>5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry </li><li>Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products </li><li>Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices </li><li>Strong critical-thinking, decision-making, and risk-assessment skills </li><li>Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators </li><li>Demonstrated ability to operate independently in a fast-paced, time-sensitive, supervisory environment </li><li>Proven leadership mindset with the ability to influence, mentor, and support others </li></ul> <p>What Is Nice To Have</p> <ul> <li>Additional FINRA licenses or industry certifications </li><li>Insurance licenses </li><li>Prior independent broker-dealer experience </li><li>Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace </li><li>Experience supporting M&A, region growth efforts, complex supervision matters, or firm-wide initiatives </li></ul> <p>Compensation</p> <p>The salary range for this role is $80,000 to $115,000 plus a competitive performance-based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations.</p> <p>#LI-Hybrid</p>