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Regional Deputy Director of Supervision

Securities America, Inc. La Vista, NE

Job Description

The primary responsibility of this leadership position is to conduct oversight of and assist in the supervision of the sales activities of Securities America representatives and OSJ’s in assigned region.  This position will also assist and serve as a back-up to the Director of Supervision in maintaining the efficient operation of the Supervision Department and the supervision efforts of the region.  Other responsibilities include communicating regularly with supervisors and representatives regarding firm and industry compliance policies, rules and regulations, serving as an expert resource on compliance and supervision questions and issues and documenting monthly activities.

Position Requirements:
•Bachelor's degree in Finance or other business related field or equivalent professional experience
•5+  years sales supervision/compliance securities industry experience
•Series 7, 24, 63 and 65/or 66 industry licenses required
•Ability to earn Series 4, 53, Variable Life and Annuity licenses within 3-12 months of hire contingent upon current level of licensure
•Ability to lead and build an effective team of Sales Supervision Principals
•Ability to build collaborative relationships with registered representatives
•Ability to identify high risk activities and establish proper risk mitigation controls
•Ability to investigate sales activity through research, interviews and analysis
•Ability to make rule-based and analytical decisions
•Ability to organize, prioritize, and handle multiple tasks
•Ability to persuasively advocate and explain compliance policy to supervisors and registered representatives
•Ability to act as subject matter expert on enterprise and department projects
•Ability to travel approximately 25% of the time
•Ability to be at work on a regular and predictable basis
•Knowledge of supervisory techniques to accomplish instruction, motivation, and training of home office and field personnel

Position Duties/Tasks:
This position is responsible for, but not limited to the following:
1.Provide leadership and have responsibility for the supervision of sales activity of registered representatives and OSJ’s in assigned territory, including the use of firm generated activity and surveillance reports
2.Initiate personnel actions including hiring, training, mentoring, performance management, etc., for the Regional Supervision Principals to ensure effective and efficient operations
3.Investigate questionable transactions and sales activity and take corrective action
4.Maintain regular and proactive contact with supervisors and registered representatives in assigned region
5.Answer compliance questions from supervisors and registered representatives in assigned region
6.Serve as back-up to the Director assisting with management of the office, and professional development of the team
7.Serve as an expert resource on compliance and supervision issues to regional team members and registered representatives
8.Provide initial or secondary review and approval of outside business activities, outside brokerage accounts and office sharing arrangements of representatives in assigned region
9.Participate in and/or complete special projects, investigations or assignments as directed by the Director of Supervision.
10.Participate in pre-audit briefings for representatives in assigned region
11.Make recommendations to Director of Supervision for improvements to supervision policies and procedures to mitigate risk and improve efficiency and effectiveness of the Regional Supervision team
12.Provide a monthly report to the Director of Supervision that includes a summary of all oversight activities, report reviews, follow-up completed, open issues and status of any investigations
13.Participate and provide subject matter expertise in cross functional department projects
14.Perform other duties as assigned


Job Details

Date Posted October 13, 2017
Date Closes December 13, 2017
Located In La Vista, NE
Department Sales Supervision
Job Type Full-time Employee
Start Date Immediately
Positions Available 1
SOC Category 11-3031.00 Financial Managers
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589