Deputy Head of Supervision

United States·DallasHybridexecutive

OtherHead

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Overview

At Cetera, we need experienced compliance leaders to help us deliver integrity and continuous improvement. As a senior supervision professional, you understand how to design, implement,

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OtherHead

At Cetera, we need experienced compliance leaders to help us deliver integrity and continuous improvement. As a senior supervision professional, you understand how to design, implement, and enhance supervisory systems that meet complex regulatory requirements and support business growth. You apply sound judgment to complex supervisory matters, collaborate across functions, and promote a strong culture of compliance.

We are currently seeking a Deputy Head of Supervision to support firm-wide supervisory oversight at Cetera Advisors LLC in Dallas, TX.

Responsibilities

~1 min read

→Support firm‑wide compliance with FINRA rules, SEC regulations, and applicable state securities laws.
→Assist in the design, implementation, documentation, and enhancement of the firm’s supervisory system in accordance with FINRA Rule 3110.
→Oversee supervisory reviews of registered representatives, principals, branch offices, OSJs, and remote locations.
→Provide oversight of supervisory systems including trade review, transaction surveillance, and electronic communications.
→Serve as a supervisory escalation point for complex matters.
→Assist with FINRA and SEC examinations and remediation of findings.
→Monitor regulatory developments and support implementation of rule changes.
→Partner with Compliance, Legal, and Risk teams on regulatory matters.
→Maintain strong working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations.
→Support supervision of dual-registered representatives.
→Coordinate cross-functional initiatives and provide updates to senior leadership.

Requirements

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Bachelor’s degree required
Minimum of 10 years of progressively responsible experience in the financial services industry, in a supervision or compliance capacity.
Series 7, 24, 63 and 66 or 65 registrations required. Series 4 and 53 desired
Experience managing and developing senior professionals.
Strong knowledge of FINRA Rule 3110, SEC regulations, and state securities laws.
Ability to analyze and resolve complex supervisory and regulatory matters.

What We Offer

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The base annual salary range for this role is $122,000 to $182,000, 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.

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