Senior Supervision Specialist

At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm’s supervisory, compliance, and risk management frameworks. We are seeking a Senior Supervision Specialist to provide advanced principal oversight, act as a subject matter expert, and support supervisory leadership while operating in a fast ‑ paced, highly regulated environment. This is a hybrid role, based in one of Cetera’s office location, Dallas, TX What You Will Do The Senior Supervision Specialist serves as a senior ‑ level principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to: • 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 • 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 • 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 • 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 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 Compensation The salary range for this role is $80,000 to $118,000 plus a competitive performance ‑ based bonus. Compensation is based on a variety of factors, including experience, certifications, skills, and office location. Ranges may vary by geographic market due to labor cost considerations. #LI-Hybrid