VP, Sales Supervision

Position Description:

Oversee the supervisory framework for both a FINRA-registered Broker-Dealer and a SEC-registered Registered Investment Adviser (RIA). This role ensures compliance with all regulatory requirements, manages supervisory policies and procedures, and provides leadership in mitigating risks associated with financial services and client interactions. The VP of Supervision will work closely with compliance, operations, legal, and senior management teams to maintain a culture of compliance while supporting business objectives.

This role will require you to demonstrate leadership, organizational, and problem-solving skills. Utilize excellent communication skills (both verbal and written) to interact effectively with regulators, senior management, and staff.

Position Location:

This is a hybrid role working partially in-office (Lincoln, NE) and partially from home.

What you do:

• Develop and enforce supervisory policies and procedures to ensure compliance with FINRA, SEC, and state regulations.
• Oversee the supervision of registered representatives, investment adviser representatives, and branch offices, including conducting periodic reviews and audits.
• Review and approve client account activities to ensure suitability, fiduciary compliance, and adherence to firm policies.
• Monitor sales practices, marketing materials, and investment recommendations to ensure compliance with applicable regulations.
• Stay updated on FINRA, SEC, and other relevant regulatory changes and implement necessary updates to the firm’s supervisory framework.
• Manage and respond to regulatory audits, inquiries, and examinations from FINRA, the SEC, and other regulatory bodies.
• Develop and implement ongoing training programs for registered representatives, investment adviser representatives, and supervisors to ensure awareness of regulatory changes and compliance requirements.
• Identify, assess, and mitigate regulatory and operational risks related to the firm’s activities.
• Investigate and resolve escalated customer complaints, trading errors, and other supervisory issues in a timely manner.
• Maintain a robust system for tracking and documenting supervisory activities and compliance efforts.
• Oversee the review of performance presentations and disclosures for accuracy and regulatory compliance.
• Collaborate with the CCO, legal, and senior management teams to address regulatory issues and support business growth.
• Serve as the primary liaison with regulators for supervisory-related matters.
• Lead the preparation and execution of the annual compliance review for the RIA in accordance with SEC Rule 206(4)-7.

What you bring:

• Bachelor’s degree (finance, business, or related field of study) or an equivalent combination of education and experience required. Advanced or graduate degree preferred.
• 10 years of experience in compliance, supervision, or risk management within a Broker-Dealer and/or RIA environment.
• Strong understanding of FINRA rules, SEC regulations, and fiduciary standards required.
• Active FINRA Series 24 (General Securities Principal), Series 65/66, and Series 7 licenses required.
• Proficiency with compliance technology platforms and supervisory tools desired.

What we offer:

• 401(k) Retirement Plan with company match and quarterly contribution.
• Tuition Reimbursement and Assistance.
• Incentive Program Bonuses.
• Competitive Pay.

• Flexible Hybrid work.
• Thrive Days - Personal time off.
• Paid time off (PTO).

• Health Benefits: Medical, Dental, Vision.
• Health Savings Account (HSA) with employer contribution.
• Well-being programs with financial rewards.
• Employee assistance program (EAP).

• Professional development programs.
• Leadership development programs.
• Employee resource groups.
• StrengthsFinder Program.

• Matching donations program.
• Paid volunteer time– 8 hours per month.

• Generous paid maternity leave and paternity leave.
• Fertility, surrogacy, and adoption assistance.
• Backup child, elder and pet care support.

An Equal Opportunity Employer

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.

The pay range posted reflects a nationwide minimum to maximum covering all potential locations where the position may be filled. The final determination on pay for any position will be based on multiple factors including role, career level, work location, skill set, and candidate level of experience to ensure pay equity within the organization. This position will be eligible to participate in our comprehensive benefits package (see above for details). This position will be eligible to participate in our Short-Term Incentive Plan with the annual target defined by the plan.

Pay transparency is rooted in principles of fairness, equity, and accountability within the workplace. Sharing pay ranges for all job postings is one way Ameritas shows our commitment to equitable compensation practices.