Senior Supervision Associate jobs in United States
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Cetera Financial Group ยท 1 day ago

Senior Supervision Associate

positionEl Segundo, CA, United States
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$52K/yr - $70K/yr
date1+ years exp

Cetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. They are seeking a Senior Supervision Associate to maintain operational excellence by ensuring compliance and data integrity across key systems, managing email retention and access, and providing troubleshooting support.

AdviceFinancial ServicesRetailRetirementWealth Management
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H1B Sponsor Likelynote

Responsibilities

Configure and manage Smarsh email retention settings for the Channel Operations team
Maintain and oversee Smarsh access for Supervision teams
Troubleshoot and resolve Salesforce cases, including case setup and follow-through

Qualification

SmarshSalesforceFinancial Service experienceAttention to detailProblem-solving skillsCommunication skillsCollaboration abilities

Required

1-3 years of Financial Service experience
High school diploma or equivalent
Familiarity with Smarsh, Salesforce, or similar compliance and reporting platforms

Preferred

Exceptional attention to detail and ability to prioritize multiple tasks effectively
Strong problem-solving skills with a proactive mindset toward operational improvements
Excellent communication and collaboration abilities across teams

Benefits

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 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.

Company

Cetera Financial Group

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Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
dateFounded in 2010
location
San Diego, California, USA
people-size1001-5000 employees
web-link
http://www.cetera.com

H1B Sponsorship

Cetera Financial Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (3)
2023 (5)
2022 (2)
2021 (2)

Funding

Current Stage
Late Stage
Total Funding
unknown
Key Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired

Leadership Team

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Michael Durbin
Chief Executive Officer
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Tom Gooley
Chief Operating Officer
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Recent News

Pulse 2.0
Cetera Onboards $250 Million Firm Guided Financial Strategies
2025-12-27
PR Newswire
Guided Financial Strategies Joins Cetera After Two Decades with LPL
2025-12-16
Business Wire
Cetera Chooses Vanilla, Further Enhancing Estate Planning Services for Approximately 12,000 Advisors
2025-12-16
Company data provided by crunchbase