Sales Supervision Analyst

Position Description:

The purpose of this position is to supervise activities related to suitability of registered representative sales, as well as quality assurance for the enterprise. This role will review both commission based and advisory business.

Position Location:

This position is remote and does not require regular in-office presence.

What you do:

• Supervise sales activity of registered representatives and the Office of Supervisory Jurisdiction in assigned segment.
• Make regulatory and supervisory-based decisions in order to mitigate risk to the enterprise.
• Review and approve transactions for suitability and documentation of all products, including fixed income products, equities, Unit Investment Trust, Real Estate Investment Trust, other direct participation programs, mutual funds, 529 plans, indexed annuities, variable annuities, variable life products, structured products, and investment advisory products.
• Build constructive relationships with registered representatives and steer them to compliance through communication, education, and possible disciplinary actions.
• Review compliance surveillance exception reports for potential sales practice violations. Review and ensure resolution of items in the suitability and transaction systems.
• Investigate potential sales practice violations and takes corrective actions which may require client and/or representative contact.
• Assist with regulatory exams and requests as well as assist with the maintenance of AIC (Ameritas Investment Company) and AAS (Ameritas Advisory Services) policies and procedures and written supervisory procedures.

What you bring:

• Associate’s degree or equivalent combination of education and experience required.
• Bachelor’s degree preferred but not required.
• 0-2 years of relevant principal review experience required.
• FINRA Series 7 and 24 are required.

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 job postings is one way Ameritas shows our commitment to equitable compensation practices.