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Deputy Director - RIA Supervision

Securities America, Inc. La Vista, NE

Job Description

Position Overview

The primary responsibility of this position is to provide supervision-focused guidance and leadership to Securities America’s registered investment advisor (RIA) activities. The position will understand and interpret Securities America’s policies and procedures as well as applicable regulatory rules and guidance in the implementation of the Securities America’s Supervision efforts.  These efforts will encompass Securities America Advisors (SAA), Arbor Point Advisors (APA), and, as needed, independent RIA activities.


Position Requirements

• Bachelor’s degree in business related field or equivalent work experience 

• Knowledge of applicable investment advisor rules and regulations, including, but not limited to Investment Advisers Act and state RIA rules and regulations

• Support risk management practices applicable to RIA affiliates of Securities America

• 5-7 years of securities industry experience

• 3-5 years of previous management and/or supervision experience in RIA industry

• Series 7, 24, 66 registrations and variable life and annuity insurance licenses required

• Series 4 & 53 registrations preferred

• Experience supervising representatives that own or are affiliated with independent RIAs

• Knowledge rules and regulations, including, but not limited to, Investment Company Act, ERISA, and DOL (as applicable)

• Knowledge of SAI entities, products, and policies and procedures preferred

• Experience implementing and applying investment advisor regulations (including managing through examinations) 

• Experience analyzing risk management policies and strategies to determine if they fall within regulatory guidelines and organizational policies and procedures

• Experience analyzing complex data, evaluating information, and drawing logical conclusions (including making needed recommendations for action)

• Experience identifying problems and developing alternative solutions

• Experience working with sensitive, confidential issues and information

• Experience organizing, prioritizing tasks in order to meet deadlines

• Experience planning and implementing organizational and department goals

• Excellent analytical skills and attention to detail

• Excellent communication skills including influential and interpersonal skills

• Experience in managing assigned projects, maintaining accurate records of analysis and decisions, tracking and following up on those decisions

• Experience with team member coaching, training, and presentations


Position Duties/Tasks:

This position is responsible for, but not limited to the following:

1. Manage the supervision activities of corporate and independent RIAs affiliated with Securities America  

o Plan, organize, and implement supervision plans to ensure compliance with firm policies and procedures

o Interpret firm policy as well as regulatory information to develop short and long term plans for effective supervision

o Conduct training of supervision staff as well as corporate investment advisor representatives and affiliated independent RIAs

o Proactively review issues, identify opportunities for improvement, and make recommendations to senior leadership

2. Assist, guide and answer questions from team and other departments

3. Ensure that RIA policies and procedures are communicated to supervision staff and investment advisor representatives

4. Communicate with sales personnel (advisors and sales management), clients, and firm senior management on RIA-related supervision matters

5. Coordinate with Manager- RIA Compliance to provide leadership during RIA-related examinations or audits or during regulatory matters

6. Provide advice and guidance to Securities America and its advisors on complying with the Investment Advisers Act of 1940 and state RIA rules and regulations

7. Coordinate with Manager- RIA Compliance to draft and update advisory-related documents, forms, checklists, and manuals for SAA and APA (as appropriate)

8. Provide guidance and support to independent RIA customers of the firm

9. Provide assistance to the firm’s Regulatory Inquiry or Legal departments with regulatory inquiries or investigations or litigation matters (as needed)

10. Other projects as assigned





Job Details

Date Posted November 19, 2018
Date Closes December 19, 2018
Address 12325 Port Grace Boulevard
Located In La Vista, NE
Department Supervision
Function RIA
Job Type Full-time Employee
Compensation Salary
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 1
SOC Category 13-1041.00 Compliance Officers, Except Agriculture, Construction, Health and Safety, and Transportation
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

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...