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Regional Sales Supervision Principal

Securities America, Inc. La Vista, NE

Job Description

The primary responsibility of this job is to help mitigate risk to the firm by the supervision of the sales activities of SAI representatives and OSJ’s in an assigned region. Other responsibilities include communicating regularly with representatives and OSJ’s regarding compliance regulations; coordinating with the compliance department on audits, surveillance reports, and regulatory inquiries and serving as a subject matter expert on compliance questions and issues. 

Position Requirements:

  • Bachelor's degree in Finance or other business related field or equivalent work experience
  • 3+ years of industry experience, preferably in supervision/compliance
  • Series 7, 24 industry licenses required
  • Ability to earn Series 66 industry license within 6 months of hire
  • Ability to earn Series 4 and 53, Variable Life and Annuity licenses within 3-12 months of hire contingent upon current level of licensure
  • Ability to keep abreast of and adapt to an ever changing regulatory landscape
  • Ability to analyze sales activities and trends via interviews and exception reports to determine if an activity falls within Firm and regulatory guidelines.
  • Ability to understand a wide variety of representative business models and to spot trends and potential pitfalls in those models
  • Ability to steer representatives and OSJs to compliance through communication, education and possible disciplinary actions
  • Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner
  • Ability to problem solve and make rule-based and analytical decisions
  • Ability to organize, prioritize, and handle multiple tasks
  • Ability to travel approximately 10-15% of the time

Position Duties/Tasks:
This position is responsible for, but not limited to the following:

  1. Supervise sales activity of registered representatives and OSJ’s in assigned territory.
  2. Build constructive relationships with a wide variety of SAI representatives and OSJs in assigned region through communication, visits, education and follow-up.
  3. Review compliance surveillance escalations and exception reports for potential sales practice violations. Review and ensure resolution of items in the suitability and transaction systems.
  4. Hold OSJs in region responsible for the supervision duties they are required to perform.
  5. Investigate potential sales practice violations and take corrective actions which may require client and/or representative contact.
  6. Provide feedback and input for policy and process improvement on an ongoing basis.
  7. Provide input to Compliance audits.
  8. Answer compliance questions from reps, office staff and home office employees.
  9. Provide a weekly report to the Deputy Director that includes a summary of Accomplishments, Trends, Challenges and Opportunities for region and department. .
  10. Review and approve Outside Business Activities, office sharing arrangements, and Annual Attestations of representatives in assigned region.
  11. Perform other duties as assigned.


Job Details

Date Posted January 24, 2019
Date Closes February 23, 2019
Address 12325 Port Grace
Located In La Vista, NE
Department Sales Supervison
Job Type Full-time Employee
Compensation Salary
Experience Level Intermediate (3-7 yrs. experience)
Mon: 8 am to 4 pm
Tue: 8 am to 4 pm
Wed: 8 am to 4 pm
Thu: 8 am to 4 pm
Fri: 8 am to 4 pm
Hours 40 hours per week
Start Date Immediately
Positions Available 5
SOC Category 41-3031.03 Securities and Commodities Traders
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

This job requires the following skills

  • Team Management
  • Finance Management
  • Regulatory Compliance
  • Computer Usage
  • Excellent Team Member
  • Positive Attitude
  • Strong Time Management
  • Strong Work Ethic
  • Microsoft Office

Course(s) relevant to the skills listed for this position

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 ...