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Supervision Specialist
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- As a fundamental member of Cetera Institutions, you’ll actively contribute to upholding the integrity and security of our financial operations while fostering a culture of compliance and continuous improvement.
- This is a unique opportunity to help advisors by making them aware of sales practice issues from a supervision perspective.
- We are currently seeking a Supervision Specialist to add to our team in one of our office locations (St Cloud, MN; Atlanta, GA; Schaumburg, IL; Denver, CO; St Paul, MN) for a hybrid model.
- Work with the Compliance Department as needed to address regulatory concerns.
- Provide education and training to Representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
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