Supervision Associate - El Segundo, United States - Cetera Financial Group

Cetera Financial Group

Verified Company

El Segundo, United States

2 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

Cetera Advisor Networks LLC is currently seeking a Supervision Associate to be a part of a team. This is a unique opportunity for an individual excited to build a career in supervision.

The role will provide valuable supervision experience and if desired, an opportunity to obtain FINRA registrations necessary to grow within our supervision team.

This is a hybrid role located in either of our office locations:

El Segundo, CA; San Diego, CA; Enfield, CT, Denver, CO; Dallas, TX; Des Monies, IA; St Cloud, MN; St.

Paul, MN; Atlanta, GA; Boca Raton, FL, Schaumburg, IL

What we need:

Cetera Advisor Networks LLC is currently seeking a Supervision Associate to assist with various responsibilities such as distributing assignments, processing supervision documents and supporting the team with various needs.

What you will do:

Monitor and review incoming inquiries to department queues
Upload & route account documents to the Supervision department via Docupace as needed
Enter and log data points on excel spreadsheets
Run and analyze various Excel reports using advanced formulas such as VLookUp
Assist Supervision principals in preparing and performing timely completion of various supervision tasks.
Work with group & field for all changes/updates in hierarchy
Creation and Processing of Letters of Education/Caution
Assist with the audit letter process
Other duties as assigned.

What you need to have:

High school diploma or degree
Attention to detail and organization
Communication skills
Ability to work as part of a collaborative team
Previous administrative assistant experience
Proficient in Excel

What is nice to have:

Previous experience in financial services

Compensation:

The base annual salary range for this role is $40,000 to $50,000, 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

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:

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, 1 paid wellness day and 1 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 planahead 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

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 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, inclu