What are the responsibilities and job description for the Supervision Specialist position at Candidate Experience site?
Cetera Financial Group is currently seeking a Designated Supervisor for our Cetera Financial Institutions. This is a unique opportunity to help advisors by making them aware of sale practice issues from a supervision perspective. This is a hybrid role, 2 days weekly in office.
What you will do:
- Directly oversees assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and compliance with Regulation Best Interest.
- Conduct customer account reviews to detect potential sales abuses.
- Discuss compliance concerns or potential violations with the representative.
- 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.
- Other duties as assigned, including other supervisory and/or operations functions
What you need to have:
- 3 year of compliance or relevant securities experience
- 3 year 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.
Our top performers share the following traits:
- Work well individually and with a team
- Great customer service skills
Compensation:
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
