Sr. Supervision Principal

United StatesRemoteNormalsenior

Other

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Quick Summary

Key Responsibilities

Review and approve transactions for suitability and documentation of all products, including fixed income products, equities, Unit Investment Trust, Real Estate Investment Trust,

Technical Tools

Other

Responsibilities

~2 min read

→Review and approve transactions for suitability and documentation of all products, including fixed income products, equities, Unit Investment Trust, Real Estate Investment Trust, other direct participation programs, mutual funds, 529 plans, indexed annuities, variable annuities, variable life products, structured products, and investment advisory products.
→Reviews compliance surveillance exception reports for potential sales practice violations. Review and ensure resolution of items in the suitability and transaction systems.
→Make regulatory and supervisory-based decisions in order to mitigate risk to the enterprise.
→Build constructive relationships with registered representatives and the Office of Supervisory Jurisdiction in assigned segments through communication, visits, education, and follow-up.
→Investigate potential sales practice violations and takes corrective actions which may require client and/or representative contact.
→Assist with regulatory exams and requests. Assist with the maintenance of the department's written supervisory procedures.
→Analyze sales activities and trends via exception reports to determine if an activity falls within the enterprise and regulatory guidelines.
→Provide education and training to representatives and the Office of Supervisory Jurisdiction on compliance through communication, educational activities, and disciplinary actions.
→Directly supervise sales activities of assigned representatives by reviewing and approving customer accounts, daily transactions, and ongoing activity. Conduct other supervisory or operations functions as assigned.
→Identify, evaluate, and document trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations.
→Supervise sales activity of registered representatives and the Office of Supervisory Jurisdiction in assigned segment.
→Participate or lead working groups or committees.
→Perform projects supporting reporting or analysis work.
→Represent the department in meetings as assigned.

Bachelor's degree or equivalent combination of education and experience required.
1-3+ years of relevant broker dealer, registered investment advisor, or similar industry experience required.
3-5 years of relevant experience preferred. Previous supervisory principal experience preferred.
FINRA:

FINRA Series 7, 24, 53 are required.
FINRA Series 63/63 or 66 are required.
If one of the above-required FINRA registrations is lacking it must be acquired within 180 days of start.

What We Offer

~1 min read

Ameritas has a reputation as a company that cares, and because everyone should feel safe bringing their authentic, whole self to work, we’re committed to an inclusive culture and diverse workplace, enriched by our individual differences. We are an Equal Opportunity/Affirmative Action Employer that hires based on qualifications, positive attitude, and exemplary work ethic, regardless of sex, race, color, national origin, religion, age, disability, veteran status, genetic information, marital status, sexual orientation, gender identity or any other characteristic protected by law.

Application Deadline
This position will be open for a minimum of 3 business days or until filled.

This position is not open to individuals who are temporarily authorized to work in the U.S.