Supervision Specialist
CeteraDallas, Texas, United States
Posted May 1, 2026
73000 - 100000 USD
Full Time
About the Company
Cetera Financial Group 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.
Job Description
At Cetera, weāre 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.
Requirements
- 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
Benefits
- Inclusive health, dental, vision and life insurance plans
- Easy access to mental health benefits
- 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days
- 401(k) Savings plan with a generous company contribution (up to 5%)
- Paid parental leave
- Health Savings and Flexible Spending Account options
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more