Sr. 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 :

What we offer :

A meaningful mission. Great benefits. A vibrant culture

Ameritas is an insurance, financial services and employee benefits provider Our purpose is fulfilling life. It means helping all kinds of people, at every age and stage, get more out of life.

At Ameritas, you'll find energizing work challenges. Flexible hybrid work options. Time for family and community. But dig deeper.Benefits at Ameritas cover things you expect and things you don't :

Ameritas Benefits

For your money :

For your time :

For your health and well-being :

For your professional growth :

For your community :

For your family :

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.