Job Description
The Supervision Team Lead is responsible for providing leadership, oversight, and execution of the firm's supervisory and compliance programs. This role directly supervises assigned Registered Representatives and OSJ Managers, serves as a primary escalation point for supervision-related matters, and ensures regulatory, firm, and supervisory requirements are consistently applied across the organization. The Team Lead partners closely with Compliance, Licensing & Registration, Operations, Information Security, Relationship Management, and Field Leadership to mitigate risk, support business growth, and maintain a strong culture of supervision
This is a hybrid role, based in one of Cetera's office locations: El Segundo, CA, Dallas, TX
Key Responsibilities
Leadership & Supervision
Act as a subject matter expert and escalation point for supervision, compliance matters, firm policies, and regulatory interpretation
Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations
Directly supervise assigned Representatives and OSJ Managers.
Remediate and provide support in OSJ audits
Act as liaison to Growth, Relationship Management, Compliance, Operations, and IT teams.
Review email correspondence for financial professionals and associated persons
Review Salesforce cases and escalated supervision requests.
Monitor and investigate off-channel communications, advisor security incidents, and heightened supervision matters
Review advisory surveillance alerts including concentration, risk variance, and single security concentration.
Review and approve OBAs, Private Securities Transactions (PSTs), sponsor fund requests, Political Contributions and trustee/POA activities.
Conduct PinPoint reviews for advertising, correspondence, gifts, check blotters, ACRs, and branch audits.
Review BIC, rollover, CRS, and other supervisory exception reports.
Process licensing and registration requests, onboarding packages, process terminations, and U4 updates through the L&R tool.
Maintain supervision hierarchies and related supervisory records.
Process Letters of Indemnity and other supervision-related documentation.
Manage disciplinary investigations, documentation, and enforcement actions.
Issue Letters of Education (LOE), Letters of Caution (LOC), fines, and representative terminations as appropriate.
Oversee tracking and remediation of off-channel, branch audit, OBA, and advisor security violations.
Assist and partner in department projects or enhancements to our supervisory systems
Support training initiatives, supervision presentations, and recruiting discovery days as needed
Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives
Promote a strong culture of compliance, accountability, and risk awareness across the field
Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations
What You Need To Have
Bachelor's degree required
FINRA Series 7, 24, and 63 required
FINRA Series 65 or 66 required
FINRA Series 53 required (or ability to obtain within 6 months of hire if not already held)
5+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities
5+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry
Advanced working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products
Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices
Strong critical thinking, decision making, and risk assessment skills
Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators
Demonstrated ability to operate independently in a fast paced, time sensitive, supervisory environment
Proven leadership mindset with the ability to influence, mentor, and support others
What Is Nice To Have
Additional FINRA licenses or industry certifications
Insurance licenses
Prior independent broker dealer experience
Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace
Experience supporting M&A, region growth efforts, complex supervision matters, or firm wide initiatives
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
- Dice Id: RTX1a6d2c
- Position Id: 6671
- Posted 6 hours ago
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