Senior Supervision Specialist

CETERA

Cetera senior supervision specialist overseeing brokerage transactions, compliance, and Financial Representatives. Providing principal oversight, regulatory interpretation, risk assessment, and supervisory leadership support in Dallas.

Posted 8/5/2026full-timeDallas • Texas • 🇺🇸 United StatesSenior💰 $80,000 - $118,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive knowledge of securities products and services, regulatory requirements, and supervisory best practices while providing leadership and guidance to Financial Representatives. Proven ability to assess compliance issues, implement solutions, and foster a culture of accountability and risk awareness.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65Securities Industry Experience

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Securities Products KnowledgeCompliance OversightSupervisory Best PracticesRisk AssessmentDecision-Making

Soft Skills

Critical ThinkingWritten CommunicationVerbal CommunicationMentoringCoaching

Tools & Technologies

PershingNFSSmarshAlbridgeSalesforce

Certifications & Qualifications

FINRA Series 53Insurance LicensesAdditional FINRA Licenses

Industry Keywords

Brokerage IndustryRegulatory ComplianceSales LeadershipPrincipal ReviewAccount Supervision

Tech Stack

Tools & technologies

NFS

About the role

Key responsibilities & impact

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 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

Requirements

What you’ll need

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
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

Benefits

Comp & perks

Competitive performance-based bonus
Hybrid work arrangement