The Supervision Manager is responsible for the direct leadership and oversight of the CWS Supervision Specialists team. This role manages both scheduled and ad hoc projects across team members with competing priorities w…
Small Business Specialist (New Business Development)
Dallas, Texas, United States · On-site
Mid level$33M raised
Overview At First Citizens Bank, together we become better. We're looking for people who want more than just a job - who want to make a difference in the communities where we live and work. The Business Services Represen…
Company Description Public Storage is the self-storage industry leader and we are Hiring Now! Earn $15.00 Per Hour Our Benefits Total Rewards package available to our team: We work Flexible and Full-Time Schedules betwee…
Restoration Project Director Department: Restoration Employment Type: Full Time Location: Dallas, TX Reporting To: Brad Walker Compensation: $80,000 - $110,000 / year Description Join Our Team! Are you passionate about l…
Skills: Project Management, Business Development, Restoration, Remediation, Mitigation
Company Description SquareTrade is the fastest growing company of its kind. We’re revolutionizing a $30b industry with service innovation and attention to customer satisfaction. We partner with some of the largest, most …
Skills: AI Workflow Design, Process Automation, SQL, Python, Microsoft Excel
Cotton
Construction Project Director
Dallas, Texas, United States · On-site
$90k–$110k/yr
Senior
Construction Project Director Department: Construction Employment Type: Full Time Location: Dallas, TX Reporting To: Will Figueroa Compensation: $90,000 - $110,000 / year Description Join Our Team! Are you passionate abo…
Skills: Project management, Construction management, Estimating, Xactimate, Business relationship management
Vixxo wants your ambition, your experience, your talent, and what makes you unique. We may have a place for you on one of our many teams, all dedicated to facilities management for some of your favorite retail, grocery, …
Restoration Assistant Project Manager Department: Restoration Employment Type: Full Time Location: Dallas, TX Reporting To: Brian Miller Compensation: $22.00 - $23.00 / hour Description Cotton Holdings, Inc., is a divers…
Ambulatory RN - Family Medicine Residency Clinic at THD (Texas Health Dallas) 8194 Walnut Hill Lane, Dallas, TX 75231Monday - Friday: 8:30am-5:30pm WHY UT SOUTHWESTERN? With over 75 years of excellence in Dallas-Fort Wor…
Skills: Nursing Process, Patient Education, Triage, Electronic Medical Record Documentation, Medication Administration
POSITION SUMMARY: The Sales Associate is responsible for generating sales by providing the customer with an exceptional shopping experience. The Sales Associate maximizes sales by delivering efficient, friendly and knowl…
Job Overview: APTIM’s Dallas, Texas office is seeking a full time Environmental Project Manager with experience managing and executing environmental projects, specifically to include those funded by and/or regulated unde…
Introduction At Gallagher Benefit Services, you’re a trusted partner to organizations navigating some of their most important people decisions. We help clients build better workplaces, where people feel supported, …
WHY UT SOUTHWESTERN? With over 75 years of excellence in Dallas-Fort Worth, Texas, UT Southwestern is committed to excellence, innovation, teamwork, and compassion. As a world-renowned medical and research center, we str…
WHY UT SOUTHWESTERN? With over 75 years of excellence in Dallas-Fort Worth, Texas, UT Southwestern is committed to excellence, innovation, teamwork, and compassion. As a world-renowned medical and research center, we str…
Hi, we're Oscar. We're hiring a Senior Director to join our Provider Experience team. Oscar is the first health insurance company built around a full stack technology platform and a relentless focus on serving our member…
Position Summary This position is all about relationships and connections. Developing and maintaining relationships with people, both internal and external customers. Making a connection with a person during a very diffi…
Skills: Clinical Field Evaluations, Patient Assessment, Customer Service, Communication, Organization
Company Overview Golightly is a Members only private social club located in the 22-story Hôtel Swexan in the heart of Dallas. Intimate, immersive, and transportive, the Club has a surprise around every corner. Forg…
Skills: Customer Service, Hospitality Management, Front Desk Operations, Communication, Multitasking
Business Development Representative National Corporate Housing | Home, Wherever You Are National Corporate Housing is redefining corporate housing through meaningful partnerships and strategic expansion. We believe succe…
About One Park Financial One Park Financial, a leading provider of financing solutions for small and mid-sized businesses, has been consistently recognized as a top workplace for seven consecutive years, earning both the…
Skills: Credit Policy, Business Intelligence, AI/ML Modeling, SQL, Python
Retail Sales Associate, Shops at Highland Village - TX - Part Time
Dallas, Texas, United States · On-site
$16/hr–$25/hr
Entry level
About Bluemercury With 178 locations across the country and growing, Bluemercury pioneered a client-first service model that emphasizes hyper-personalized, high-quality beauty interactions. The leading luxury beauty dest…
Sign up with Clera and we'll reach out the moment a role actually fits you — no more spraying applications into the void.
Full-time
bachelor degree
Health Insurance, Dental Insurance, Vision Insurance, Life Insurance, Mental Health Benefits, Paid Time Off
Posted 16d ago
~40 hrs/week
Responsibilities
Lead and develop a team of Supervision Specialists to ensure the effective execution of supervisory activities and risk management programs. Oversee critical functions including trade reviews, registration requirements, and policy violation investigations while partnering with senior leadership.
Requirements
Requires a bachelor's degree or equivalent experience, 5-10 years of industry experience, and previous leadership in a supervisory or compliance environment. Must hold Series 7, 24, and 66 certifications, with Series 52/53 and 4 preferred.
Full job description
The Supervision Manager is responsible for the direct leadership and oversight of the CWS Supervision Specialists team. This role manages both scheduled and ad hoc projects across team members with competing priorities while ensuring the timely and effective execution of supervision activities. The Supervision Manager will also serve as the lead for key supervision initiatives and play a critical role in supporting the firm's risk management, compliance, and supervisory programs
What You'll Do:
Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities.
Oversee team workloads, priorities, and performance to ensure high-quality and timely execution of supervisory responsibilities.
Manage multiple concurrent projects and initiatives, balancing scheduled deliverables and emerging business needs.
Serve as the primary lead for strategic supervision initiatives and process improvements.
Partner with senior leadership to ensure the supervision organization effectively supports internal business partners and field offices.
Build strong relationships across the organization to drive collaboration, consistency, and effective risk management.
Lead and facilitate discussions with firm leaders regarding supervisory matters, escalations, and business initiatives.
Supervisory Functions Oversight:
Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including outside business activities (OBAs), private securities transactions (PSTs), correspondence review, registration and licensing requirements, complaint triage, new OSJ training, annual advisory client reviews, policy violation investigations and disciplinary actions, surveillance escalations, trade reviews, and new business reviews.
What You Need to Have:
Bachelor’s degree or equivalent work experience
5-10 years Industry experience
Previous leadership experience
Broker Dealer supervision experience.
Series 7, 24, 66 (52/53 & 4 preferred)
Attention to detail.
Ability to create and teach new and existing processes.
Ability to foster a collaborative work environment.
Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment.
Strong project management skills with the ability to prioritize multiple competing demands.
Excellent communication, relationship management, and influencing skills.
Proven ability to collaborate effectively at all levels of an organization, including senior leadership.
Strong analytical and problem-solving capabilities with a focus on risk identification and resolution.
Ability to lead through change and drive continuous process improvement.
What's Nice to Have:
Proficient in Microsoft Excel/Power point
Ability to present in front of small and large groups.
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+ 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 fostering.
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.
Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind
About Cetera
Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers 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 and a leading provider of retail services to the investment programs of banks and credit unions.
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 (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.
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.
Related keywords
Broker DealerFINRASIPCSeries 7Series 24Series 66Series 52Series 53Series 4Outside Business ActivitiesPrivate Securities TransactionsCorrespondence ReviewRegistration and LicensingComplaint TriageSurveillance EscalationsTrade Reviews
We deliver tax-intelligent wealth management solutions for Financial Professionals.
Industry
Financial Services
Company size
501-1,000 employees
Founded
1983
Headquarters
Dallas, Texas
LinkedIn followers
28,709
Avantax, a unique community within Cetera Holdings, delivers tax-intelligent wealth management solutions for financial professionals, tax professionals & CPA firms, supporting its goal of minimizing clients’ tax burdens through comprehensive tax-intelligent financial planning. Avantax has two distinct, but related, models within its business: the independent Financial Professional model & the employee-based model. Avantax refers to its independent Financial Professional model as Avantax Wealth Management®. Avantax Wealth Management (AWM) works with a nationwide network of Financial Professionals operating as independent contractors & offers its services through its registered broker-dealer, Avantax Investment Services, Inc., Member FINRA, SIPC, registered investment advisor (RIA), Avantax Advisory Services, Inc., & insurance agency subsidiaries. We refer to our employee-based model as Avantax Planning Partners℠. Avantax Planning Partners offers services through its RIA, insurance agency, & affiliated broker-dealer, Avantax Investment Services, Inc., & partners with CPA firms to provide their consumer & small-business clients with holistic financial planning & advisory services.
Securities offered through Avantax Investment Services℠, Member FINRA (www.finra.org), SIPC (www.sipc.org). Investment advisory services offered through Avantax Advisory Services℠. Insurance services offered through licensed agents of Avantax Insurance Agency℠ & Avantax Insurance Services℠. 3200 Olympus Blvd., Suite 100, Dallas, TX, 75019, 972-870-6000. Visit Avantax.com/social_policy for more information. Avantax exclusively provides financial products and services & does not directly provide or supervise tax or accounting services. Its affiliated Financial Professionals may offer those services through their independent outside businesses. Financial Professionals’ outside companies aren't registered investment advisers.
Offices: 3200 Olympus Blvd, Suite 100, Dallas, Texas 75019, US