Job details
Job type full-time
Full job description
Position title: supervision specialist
What we need:
Due to the growth of our organization, summit financial networks in boca raton, fl, a region of cetera advisor networks, llc, is seeking to expand its supervision teamThe supervision specialist position offers a unique opportunity for a seasoned industry professional to apply their knowledge and experience while performing various supervisory and business review functions in their capacity as a firm principalThis 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 environmentFurther, this individual must possess a deep understanding of the brokerage and investment advisory business, the regulatory environment and the services related to the industryWe can consider this role to be based remotely as well.
What you will do:
The supervision specialist will report directly to the director of compliance/supervision manager and focus primarily on tasks including but not limited to :
Perform principal review and approval of new accounts
Perform principal review and approval of direct business including fixed, fixed indexed and variable annuities, fixed indexed and variable life products, mutual funds and 529 plans.
Perform principal review and approval of investment advisory business including fee-based accounts, financial planning, financial consulting, third party managed accounts, etc.
Perform required trade blotter reviews
Perform email and social media reviews
Monitor the general department email inbox and respond, escalate or redirect inquiries and information received as necessary
Provide support and guidance to financial representatives and their staff as it relates to business processes and other general inquiries
Communicate and respond to financial representatives regarding compliance and supervision issues, industry rules, firm policies and procedures
Work closely with other team members, departments, home office staff and field personnel to promote the overall objectives of the firm
Other duties as assigned
What you need to have:
Bachelor’s degree
Finra series 7 and series 24 license required
3+ years of relevant securities industry experience
2+ years of compliance and/or supervisory experience within the brokerage industry
Strong working knowledge of the brokerageinvestment advisory business, the regulatory environment and the services related to the industry
Deep understanding of industry rules governing supervision 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, the region and the firm as a whole
Really catch our eye with:
Additional finra licenses (i.e4, 53, 65, 66, etc.) and/or insurance license
Other industry certifications
Prior experience with pershing, smarsh, docupace, albridge
Independent broker-dealer and/or ria experience
Our top performers share the following trait
Great customer service and communication skills
Previous compliance and/or supervisory 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 we give you in return:
Our competitive health program offers a comprehensive benefits package that supports healthy lifestyles, preventative care and helps to protect against hardshipOur retirement plan offers our employees the opportunity to plan ahead for a strong financial future well beyond their working years.
About cetera financial group:
Cetera financial group â® (`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 institutionsCetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as 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 aspirationsAdvisor 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 , first allied securities , and summit brokerage services .
Cetera financial group is committed to providing an equal employment opportunity for all applicants and employeesFor us, this is the only acceptable way to do businessAccordingly, all employment decisions at the cetera financial group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, u.sMilitary status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note : this recruitment assignment is being managed directly by cetera’s talent acquisition teamWe will reach out to our preferred agency partners in the rare instance we require additional talent optionsYour respect for this process is appreciated.
