Supervision Specialist Supervision Specialist …

Cetera Financial Group
in El Segundo, CA, United States
Permanent, Full time
Be the first to apply
Cetera Financial Group
in El Segundo, CA, United States
Permanent, Full time
Be the first to apply
Supervision Specialist
Supervision Specialist

Position Title: Supervision Specialist, Cetera AdvisorNetworks LLC

What we need:

Cetera Advisor NetworksLLC is currently seeking a Supervision Specialist to be a part of a teamsupervising the personal production of multiple decentralized branch offices,including Designated Supervisors and Regional Directors.  This is a uniqueopportunity to join our team to provide support to the overall quality andcompliance of the organization.

What you will do:
  • Provide principal review in a supervision role. 
  • Supervise the personal production of multiple decentralized OSJ Managers and Regional Directors.
  • Act as OSJ for home office reporting representatives and ensure that reviewed transactions are in compliance with FINRA, SEC and Firm policies.
  • Respond to representative and OSJ inquiries regarding supervision policies and procedures.
  • Principal review and approval of trades for all asset types via the Firms Trade Review Tool.
  • Collection and approval of new account and transaction-related documentation.
  • Principal review of electronic and hard-copy correspondence.
  • Principal review of monthly and quarterly checks/securities logs, gift logs, and cash/non-cash compensation logs to ensure adherence to firm policies and procedures.
  • Principal of annuity transactions
  • Enforcement of all Firm policies, including determination and issuance of disciplinary action, as needed.
  • Answer all written and verbal inquiries from the field and internal business partners.
  • Other duties as assigned.

What you need to have:
  • Bachelors degree
  • Minimum of three to five years supervision, compliance or relevant industry experience
  • An understanding of all asset types, with in-depth knowledge of annuities, mutual funds, equities, and advisory accounts
  • FINRA licenses: 24, 7 are required
  • FINRA licenses required within 30 days of hire: Series 66 or 63/65
  • FINRA licenses required within 120 days of being hire: Series 52/53 and 4

 Really catchour eye with:

  •  FINRA licenses: Series 66 or 63/65, 4 and 5/253 are preferred

What we give you inreturn:

Our competitive Healthprogram offers a comprehensive benefits package that supports healthylifestyles, preventative care and helps to protect against hardship. Ourretirement plan offers our employees the opportunity to plan for a strongfinancial future well beyond their working years. 

About Cetera FinancialGroup:

® ("Cetera") is a leading network of independent retailbroker-dealers empowering the delivery of objective financial advice toindividuals, families and company retirement plans across the country throughtrusted financial advisors and financial institutions. Cetera is thesecond-largest independent financial advisor network in the nation by number ofadvisors, as well as a leading provider of retail services to the investmentprograms of banks and credit unions.

Through its multipledistinct firms, Cetera offers independent and institutions-based advisors thebenefits of a large, established broker-dealer and registered investmentadviser, while serving advisors and institutions in a way that is customized totheir needs and aspirations. Advisor support resources offered through Ceterainclude award-winning wealth management and advisory platforms, comprehensivebroker-dealer and registered investment adviser services, practice managementsupport and innovative technology.

*"" refers to the network of retail independent broker-dealersencompassing, among others, , ,  , and First Allied Securities.

Cetera Financial Group is committed to providing an equal employmentopportunity for all applicants and employees. For us, this is the onlyacceptable way to do business. Accordingly, all employment decisions at theCetera Financial Group, including those relating to hiring, promotion,transfers, benefits, compensation, and placement, will be made without regardto race, color, ancestry, national origin, citizenship, age, physical and/ormental disability, medical condition, pregnancy, genetic characteristics,religion, religious dress and/or grooming, gender, gender identity, genderexpression, sexual orientation, marital status, U.S. military status, politicalaffiliation, or any other class protected by state and/or federal law.

Agencies please note:this recruitment assignment is being managed directly by Ceteras TalentAcquisition team. We will reach out to our preferred agency partners in therare instance we require additional talent options. Your respect for thisprocess is appreciated.

Primary Location: US-CA-El Segundo
Work Locations:
Job: Supervision
Organization: Cetera Financial Group
Schedule: Full-time
Job Posting: Sep 18, 2019, 3:58:16 PM