What are the responsibilities and job description for the Supervision Specialist position at Candidate Experience site?
As a fundamental member of Cetera Institutions, you’ll actively contribute to upholding the integrity and security of our financial operations while fostering a culture of compliance and continuous improvement. This is a unique opportunity to help advisors by making them aware of sales practice issues from a supervision perspective. We are currently seeking a Supervision Specialist to add to our team in one of our office locations (St Cloud, MN; Atlanta, GA; Schaumburg, IL; Denver, CO) for a hybrid model.
What you will do:
- Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review, and ongoing activity.
- Conduct customer account reviews to detect potential sales abuses.
- Discuss compliance concerns or potential violations with representatives.
- Work with the Compliance Department as needed to address regulatory concerns.
- Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
- 15% travel to conduct Branch Office Inspections
- Other duties as assigned, including other supervisory and/or operations functions
What you need to have:
- 2 years of compliance or relevant securities experience
- 2 years of experience and a strong understanding of securities products including stocks, bonds, options, variable annuities, limited partnerships, REITS and mutual funds
- FINRA Series 7, 24, and 63 required; must acquire Series 65/66 and Series 53 within 6 months.
- Work well individually and with a team
- Great customer service skills
What is nice to have:
- Auditing experience is a plus
Compensation Range:
The base annual salary range for this role is $70,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Hybrid
Salary : $70,000 - $85,000