Supervision Specialist
CeteraDes Moines, Iowa, United States • California, United States • Dallas, Texas, United States
Posted April 16, 2026
73000 - 90000 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
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 role is located in a hybrid environment, requiring strong critical-thinking and communication skills, as well as a deep understanding of the industry and related financial products and services.
Requirements
- Bachelor's degree
- FINRA Series 7, Series 24, Series 63 license required
- 3+ years of relevant securities industry experience
- 2+ years supervisory and/or sales experience within the brokerage industry
- Strong working knowledge of industry products and services
- Deep understanding of industry rules governing transactions and suitability
- Excellent technology and communication skills
- Great customer service and communication skills
Benefits
- Inclusive health, dental, vision, and life insurance plans
- Mental health benefits
- 20+ days of paid time off (PTO)
- Paid holidays
- 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