Description
The Supervision Team Lead provides leadership and oversight of Cetera’s supervisory and compliance programs, directly supervising Registered Representatives and OSJ Managers, and serving as an escalation point for regulatory and firm matters. The role reviews surveillance alerts, correspondence, licensing and registration requests, disciplinary investigations, and remediation activities; supports audits, training, recruiting, and process improvements; and partners with Compliance, Operations, Information Security, Relationship Management, and other teams. It is a hybrid position based in El Segundo, California, or Dallas, Texas, and requires a bachelor’s degree, multiple FINRA licenses, and at least five years of progressive securities industry experience.
