Hiring: Supervision Specialist Company: Cetera Financial Group Location: Dallas, TX Job Posted Time: 2026-09-16 17:20:18 Target Skills & Keywords : Salesforce, Series 7 About the job Experience: •3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities •3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry Required Skills: •Perform principal review and supervision of securities and direct business transactions across a complex book of business •Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity •Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations •Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews •Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions •Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate •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 Qualifications: •Additional FINRA licenses or industry certifications •Prior independent broker ‑ dealer experience Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!