Supervision Specialist at Avantax Planning Partners

San Diego, California, United States -

Full Time

Start Date

Immediate

Expiry Date

04 May, 26

Salary

111000.0

Posted On

03 Feb, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Supervisory Experience, Compliance Experience, Securities Licenses, FINRA Knowledge, SEC Knowledge, State Rules Knowledge, Mutual Funds Knowledge, Annuities Knowledge, General Securities Knowledge, Research Skills, Documentation Skills, Communication Skills, Teamwork, Organizational Skills, Microsoft Word, Microsoft Excel

Industry

Financial Services

Description

Cetera Financial Group is currently seeking a Supervision Specialist. This is a unique opportunity to join our team which is responsible for the supervisory oversight of registered representatives and associated persons under their jurisdiction. The following is an overview of the functions to be performed by the Supervision Specialist. However, due to the ever-changing regulatory environment in which we operate, flexibility is required as job functions and details of the work assignments may change over time. This is a hybrid role for one of our office locations: San Diego, CA or El Segundo, CA or Dallas, TX. What you will you do: Function as the direct supervisor for assigned Registered Representatives and OSJ Managers as part of a supervisory team. Maintain positive relationships with all Registered Representatives and OSJ Managers. Provide ongoing education regarding the firm’s policies and procedures. Review securities transactions including but not limited to equities, fixed income, mutual funds, UITs, variable annuities, fixed-index annuities, municipal securities, and 529 transactions. Actively monitor transactions and accounts on an exception basis using the firm’s electronic surveillance tools. Act as a liaison between the Home Office and the field to assist with problem-solving. Ability to identify and help resolve potential sales practice concerns. Perform supervisory office visits when conditions permit. Travel is less than 10%. What you need to have: 3+ years of supervisory or compliance experience. Series 4, 7, 24, 51, 65 or 66 securities licenses required. Ability to obtain Series 4 & 51 within certain time period post start date. Strong knowledge of FINRA, SEC, and State rules and regulations required. Strong knowledge of mutual funds, annuities, general securities, and other financial products is required. Four-year college degree preferred. Detailed research and documentation skills. Excellent verbal and written communication skills. Must be able to work in a team environment and support other colleagues as needed. Organized and able to manage multiple projects simultaneously while meeting deadlines. Team player who possesses great initiative, flexibility, excellent judgment, and knows how to provide indispensable service. Exceptional ability to follow instructions with minimal supervision. Proficient in Microsoft Word and Excel. Compensation: The base annual salary range for this role is $75,000 to $111,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Hybrid About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group® ("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 institutions. Cetera is one of the largest independent financial advisor networks 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 aspirations. Advisor 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 independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at 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.S. military 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 team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

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Responsibilities

The Supervision Specialist will function as the direct supervisor for assigned Registered Representatives and OSJ Managers, maintaining positive relationships and providing ongoing education regarding the firm’s policies. They will review securities transactions and actively monitor transactions and accounts using electronic surveillance tools.