Due to the growth of our region, Cetera Wealth Partners; a region of Cetera Advisor Networks LLC, is seeking to expand its sales supervision team. The Supervision Specialist position offers a unique opportunity for a seasoned industry professional to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical-thinking and communication skills, who has the ability to work within a fast paced, time sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and service.
This is a hybrid role located in one of our office locations: San Deigo, CA; Dallas TX
What you will do:
The Supervision Specialist will focus primarily on principal review, business oversight and other related tasks including but not limited to:
What you need to have:
Bachelor's degree
FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 required within the first 6 months. FINRA 53 required within the first year
3+ years of relevant securities industry experience
2+ years supervisory and/or sales experience within the brokerage industry
Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
Deep understanding of industry rules governing transactions and suitability
Excellent technology and communication skills
The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole
Great customer service and communication skills
Previous compliance, supervisory and/or sales experience within the industry
In-depth knowledge of financial products and services
Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required
What is nice to have:
Additional FINRA licenses (i.e. 4, 53, 65, 66 etc.) and/or insurance license
Other industry certifications
Prior experience with Pershing, Smarsh, Albridge, Protegent, Docupace
Independent broker-dealer experience
Compensation:
The base salary range for this role in Dallas, TX and San Diego, CA is $73,000-$90,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.
Supervision Specialist • Dallas, TX, United States
Bilingual (English/Spanish) is Required.Please submit Cover Letter & updated Resume.Uphold the values of WTS, which include safety, integrity, quality, teamwork, innovation, and family.Assist with ... Show more
The Supervision Manager is responsible for the direct leadership and oversight of the CWS Supervision Specialists team.This role manages both scheduled and ad hoc projects across team members with ... Show more
Community Hospital Corporation (CHC) is seeking a new addition to our Telecommunications Funding Program to work within the CHC funding service line, assisting in the day to day operation by comple... Show more
ABM (NYSE: ABM) is one of the world's largest providers of integrated facility, engineering, and infrastructure solutions.Every day, our over 100,000 team members deliver essential services that ma... Show more
Inventory Supervisor JOB SUMMARY: The Inventory Supervisor is responsible for the planning, coordination, and managing of all activities related to the physical inventory requirements in the Distri... Show more
A top‑tier national GC specializing in major mission critical builds, known for innovation, strong processes, and exceptional employee retention.They are highly invested in technology, safety, and ... Show more
Administrative Assistant Location: Dallas, TX Schedule: 100% On Site Position Type: Temporary Pay: $20.Position Overview Our client is seeking a dependable, detail-oriented Administrative Assistant... Show more
This position will report directly to the VP of Finance Automation and will ensure timely processing and payment of vendor invoices.The position generates monthly processing, payment and vendor sta... Show more
Terry Soot Management Group (TSMG) is a field data collection company founded in 2017 in Europe.We collect data where automation is not possible.We count features, take pictures, make videos, recor... Show more
Operations Supervisor - 1st Shift.At GXO, we're constantly looking for talented individuals at all levels who can deliver the caliber of service our company requires.You know that a positive work e... Show more
Transdev in Dallas, Texas is hiring a Road Supervisor.Our Road Supervisors assists the Operations and Safety teams with the routes and provides Operators with timely instructions and responses.We a... Show more
We are currently seeking an Operations Supervisor with strong leadership experience to join our team.Why you need to join us! CULTURE: It's a Great place to work! We work in an environment where e... Show more
Senior Supervisor, Data Center Critical Facilities.Equinix is the world's digital infrastructure company, shortening the path to connectivity to enable the innovations that enrich our work, life an... Show more
Senior Supervisor, Data Center Critical Facilities.Equinix is the world's digital infrastructure company, shortening the path to connectivity to enable the innovations that enrich our work, life an... Show more
Copart links vehicle sellers to more than 750,000 buyers in over 190 countries.We believe in providing an unmatched experience, every day and everywhere, driven by our people, processes, and techno... Show more
Operations Supervisor - Full Time We offer a full benefits package, PTO, weekly pay, and more! Primary Location: Richardson, TX Salary Range: $55,000-$60,000/YR Schedule: (may be asked to work ... Show more
CEVA Logistics provides global supply chain solutions to connect people, products, and providers all around the world.Present in 170+ countries and with more than 110,000 employees spread over 1,50... Show more
As the Supervision Manager, you'll be responsible for overseeing the supervisory framework of the Registered Investment Advisor (RIA) business and Fixed Insurance Business (FIB).This role will ensu... Show more
Job Description: Total Compensation w/ OT & Per Diem = $250k-$290k annually The Transmission & Distribution (T&D) Superintendent is responsible for field operations on assigned project(s) to ensu... Show more
Data Center Logistics Specialist.AWS Infrastructure Services owns the design, planning, delivery, and operation of all AWS global infrastructure.In other words, we're the people who keep the cloud ... Show more
