- 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
- 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
- Auditing experience is a plus
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship
- Easy access to mental health benefits to meet our team members and their families where they are
- 20+ days of paid time off (PTO), paid holidays, and 2 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years
- Paid parental leave to support all team members with birth, adoption, and foster
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more
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Supervision Specialist - St Cloud, United States - Cetera Financial Group
Description
Job DescriptionAs 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; St Paul, MN) for a hybrid model.
What you will do:
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
About Us
What we give you in return:
Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
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 an independent financial advisor network and 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 Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.
