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Analyst II - Sales Supervision

Securities America, Inc. La Vista, NE

Job Description

Position Overview:
The primary responsibility of this job is to provide final supervisory review of all correspondence up to and including written correspondence, performance summary reports, hold recommendation blotters and gifts and non-cash compensation blotters.  Additional responsibilities include performing email reviews, perform transaction reviews, review Surveillance reports, prepare consequence management paperwork and perform other risk based tasks as assigned

Position Requirements:

  • Bachelor degree in Finance or other business related field or equivalent work experience
  • 1 – 3 years securities industry experience
  • Series 7, 24 and 63 (or equivalent) industry licenses required
  • Ability to obtain Series 53 and Series 4 industry licenses within 12 months of hire contingent upon current level of licensure
  • Ability to obtain Variable Life and Annuity licenses
  • Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner
  • Ability to maintain confidentiality
  • Ability to make rule based and analytical decisions
  • Ability to organize, prioritize, and handle multiple tasks
  • Ability to review work for accuracy
  • Knowledge of FINRA and SEC policies, rules and regulations
  • Knowledge of Variable Life Insurance Products and terminology preferred

Position Duties/Tasks:

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

  1. Provide final supervisory review of correspondence including written correspondence, position summary reports, hold blotters and gifts and non cash compensation blotters
  2. Perform review of emails through email surveillance system
  3. Conduct review and release of Representative-SponsorReimbursement requests
  4. Perform review of transactions based on risk to ensure suitability of the investment.  Follow up with Representative as needed
  5. Investigate questionable transactions and contact Sales Supervision Principals to initiate corrective actions
  6. Prepare and follow up on consequence management deliverables as assigned
  7. Provide a monthly report to the Regional Directors and Sales Supervision Principal including a summary of all report reviews, issues forwarded and follow-ups completed
  8. Create and analyze monthly reports designed to detect transaction based risk at the representative, region, and sub-region levels
  9. Assist in the development of risk management procedures
  10. Serve as liaison between Supervision and Compliance departments
  11. Perform other duties as assigned


Job Details

Date Posted November 30, 2018
Date Closes December 30, 2018
Located In La Vista, NE
Department Sales Supervision
Job Type Full-time Employee
Start Date Immediately
Positions Available 2
SOC Category 43-4011.00 Brokerage Clerks
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 ...