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.
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.