Overview

What we need:
 
Cetera Financial Group is currently seeking a Supervision Specialist to be a part of a team supervising the personal production of multiple decentralized branch offices.  This is a unique opportunity to join our team to provide support to the overall quality and compliance of the organization.
 
What you will do:
  • Provide principal review in a supervision role. 
  • Supervise the personal production of multiple decentralized branch offices.
  • Act as OSJ for home office reporting representatives and ensure that reviewed transactions are in compliance with FINRA, SEC and Firm policies.
  • Provide principal review in a supervision function.  
  • Supervise the personal production of multiple decentralized branch offices with a focus on review of branch office and home office alternative investment trading activities.  
  • Respond to representative and OSJ inquiries regarding compliance.
  • Respond to questions pertaining to Firm policies and procedures
  • Principal review and approval of trades including option and municipal securities Principal review, collection and approval of Firm disclosure forms
  • Principal review of correspondence
  • Principal review and approval of new account forms
  • Principal review, approval and processing of direct business
  • Enforcement of all Firm policies
  • Acceptance of delegated OSJ responsibility
  • Answer all written and verbal inquiries from the field
  • Handle trades and client inquiries for an absent representative clients
  • Other duties as assigned.

 

Qualifications

 

What you need to have:
  • An understanding of variable annuities, limited partnerships, REITS and mutual funds
  • FINRA licenses: 24, 7 are required upon hiring
  • FINRA licenses to acquire within 30 days of being hired: Series 66
  • FINRA licenses to acquire within 6 months of being hired: 53 or 4
 Really catch our eye with:
  •  Bachelor’s degree
  •  FINRA licenses: Series 65 and/or 63 are preferred
What we give you in return:
 
Our competitive Health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardship. Our retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years. 
 
About Cetera Financial Group:
Cetera Financial Group® (“Cetera”) 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. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
 
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
 
*”Cetera Financial Group” refers to the network of retail independent broker-dealers encompassing, among others, Cetera AdvisorsCetera Advisor NetworksCetera Financial Institutions, Cetera Financial Specialists,First Allied Securities, and Summit Brokerage Services.

To apply for this job please visit usceterafina.taleo.net.


You can apply to this job and others using your online resume. Click the link below to submit your online resume and email your application to this employer.