Jobs in the United States

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Added 1 min ago
Social Services Manager
THE SALVATION ARMY - WAUSAU
WAUSAU, WI
JOB REQUIREMENTS: Looking for a leadership role where your work truly matters? Join our team as a Social Services Manager and help lead programs that directly support individuals and…
Added 1 min ago
Operations Strategy & Transformation Intern
Generac Power Systems
Waukesha, WI
The Operations Strategy & Transformation Intern supports enterprise and functional strategic planning, transformation initiatives, and project execution across Operations and adjacent…
Added 1 min ago
Management Sales Training Program
SHERWIN WILLIAMS CO
WAUKESHA, WI
JOB REQUIREMENTS: The Sherwin-Williams Management & Sales Training Program is an accelerated, entry-level position designed to prepare you for a Store Management role in 18-24 months. With…
Added 1 min ago
MM
Assistant Manager
MARCUS MAJESTIC CINEMA BROOKFIELD
WAUKESHA, WI
- $15 USD / hour
Added 1 min ago
MP
Plumbing Field Supervisor
Mr. Plumber Indiana
Indianapolis, IN
- $80,000 to $90,000 USD / year
…team in Indianapolis. In this role, you'll oversee daily field operations, mentor and develop plumbers and apprentices, ensure quality workmanship, and partner with leadership to continue…
Added 1 min ago
MM
Assistant Manager
MARCUS MAJESTIC CINEMA BROOKFIELD
WAUKESHA, WI
- $15 USD / hour
Added 1 min ago
TS
Lead Sales Associate
THE SALVATION ARMY - WAUKESHA
WAUKESHA, WI
- $15 USD / hour
…Store Sales Associate to support store management with daily operations, customer service, sales goals, and maintaining a positive shopping experience. What You\'ll Do * Assist with store…
Added 1 min ago
GH
Principal Program Manager
GE HealthCare
Waukesha, WI
- $152,000 to $228,000 USD / year
The Global PMO Program Manager is responsible for leading complex, cross-functional transformation programs from strategy and planning through implementation and value realization. The role…
Added 1 min ago
NW
Procurement Manager
NORTHEAST WIS TECHNICAL COLLEGE
GREEN BAY, WI
- $82,500 USD / year
Added 1 min ago
AC
Resident Resolutions Coordinator
AIR Communities
Miami Beach, FL
- $19 to $22 USD / hour
Opportunities for ongoing professional development, leadership training, and career growth.
Added 1 min ago
Senior Business Program Coordinator
Ameriprise Financial Inc
Minneapolis, MN
Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week
Added 1 min ago
Transportation Specialist - 3rd Shift
Benore Logistic Systems, Inc
Jefferson, GA
driver’s license required
Added 1 min ago
Director Market Development - Latin America
Great Lakes Dredge & Dock
Houston, TX
…specialized vessels. Great Lakes has a disciplined training program for engineers that ensures experienced-based performance as they advance through Company operations. The Company’s…
Added 1 min ago
Enterprise Solutions Architect-Senior/Consultant
Intermountain Health
Madison, WI
…plans. In addition, the solutions architect provides technical leadership across the organization, from strategic decision making down to the project planning level. The consultant is…
Added 1 min ago
T
Part Time Change Management Consultant
TEKsystems
Madison, WI
- $100 to $130 USD / hour
- Part-time
…Communications Lead to support a strategic organizational transformation program. The initiative is an organization-wide transformation effort enabled through several policy and technology…
Added 1 min ago
Manager, Analysis & Implementation
QUARTZ
MADISON, WI
…requests, and change management processes Provide strategic leadership and ownership for web and digital applications and platforms, including vendor-provided solutions such as Epic and…
Added 1 min ago
O
Principal Data Hall Designer
Oracle
Madison, WI
- $114,600 to $234,600 USD / year
…multidisciplinary internal teams (e.g., mechanical, plumbing, construction operations) to translate requirements from concept into robust, executable white space…
Added 1 min ago
Store Manager - 5365
Extra Space Storage
Madison, WI
The Store Manager oversees the daily operations of one or more self-storage locations with limited direct supervision. This role ensures the facility meets high cleanliness standards,…
Added 1 min ago
SALES CENTER OPERATIONS MANAGER I
MOHAWK INDUSTRIES
MADISON, WI
Added 1 min ago
Management Sales Training Program
SHERWIN WILLIAMS CO
MADISON, WI
JOB REQUIREMENTS: The Sherwin-Williams Management & Sales Training Program is an accelerated, entry-level position designed to prepare you for a Store Management role in 18-24 months. With…
Added 1 min ago
DIETITIAN
Compass Group, North America
Madison, WI
Wellness & Support – Employee Assistance Program, FSAs, and health programs
Added 1 min ago
Chief Administrative Officer Medical
UW-MADISON
MADISON, WI
Added 1 min ago
Mechanical Engineer III Energy Productio
MADISON GAS & ELECTRIC CO
MADISON, WI
Added 1 min ago
Clinical Operations Partner
Intermountain Health
Madison, WI
The Clinical Operations Partner & Executive Assistant serves as a trusted partner to clinical and operational leadership, supporting strategic initiatives that improve performance,…
Added 1 min ago
Research Data Compliance Specialist
HOSP Ann & Robert H. Lurie Children's Hospital of Chicago
Chicago, IL
Assists in the development and execution of a continuous research data monitoring program.

Ameritas

Sr. Supervision Principal

Remote, United States

Apply on myjobs.adp.com About employer

Applications open in a new tab.

Job details

Experience: 1-3+ years of relevant broker dealer, registered investment advisor, or similar industry experience required.
Posting language: English

Original job description

Job Description

This position is a subject matter expert and will review and approve new brokerage and managed accounts, annuities, retirement and financial plans, and executed transactions (stocks, bonds and mutual funds) in adherence to Regulation Best Interest and Department of Labor (DOL) fiduciary regulations. The role will also review electronic communications and advisor required submissions, including check and correspondence logs, and gift/entertainment disclosures.

Coordinate with the Field Supervision team that is responsible for direct supervision and oversight of the enterprise's broker-dealer and investment advisory distribution.

This position is remote (within the U.S.A.) and does not require regular in-office presence.

What you do:

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.
Reviews compliance surveillance exception reports for potential sales practice violations. Review and ensure resolution of items in the suitability and transaction systems.
Make regulatory and supervisory-based decisions in order to mitigate risk to the enterprise.
Build constructive relationships with registered representatives and the Office of Supervisory Jurisdiction in assigned segments through communication, visits, education, and follow-up.
Investigate potential sales practice violations and takes corrective actions which may require client and/or representative contact.
Assist with regulatory exams and requests. Assist with the maintenance of the department's written supervisory procedures.
Analyze sales activities and trends via exception reports to determine if an activity falls within the enterprise and regulatory guidelines.
Provide education and training to representatives and the Office of Supervisory Jurisdiction on compliance through communication, educational activities, and disciplinary actions.
Directly supervise sales activities of assigned representatives by reviewing and approving customer accounts, daily transactions, and ongoing activity. Conduct other supervisory or operations functions as assigned.
Identify, evaluate, and document trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations.
Supervise sales activity of registered representatives and the Office of Supervisory Jurisdiction in assigned segment.
Participate or lead working groups or committees.
Perform projects supporting reporting or analysis work.
Represent the department in meetings as assigned.

What you bring:

Bachelor's degree or equivalent combination of education and experience required.
1-3+ years of relevant broker dealer, registered investment advisor, or similar industry experience required.
3-5 years of relevant experience preferred. Previous supervisory principal experience preferred.
FINRA:
FINRA Series 7, 24, 53 are required.
FINRA Series 63/63 or 66 are required.
If one of the above-required FINRA registrations is lacking it must be acquired within 180 days of start.

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:

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

For your time:

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

For your health and well-being:

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

For your professional growth:

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

For your community:

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

For your family:

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.

Application Deadline This position will be open for a minimum of 3 business days or until filled.

This position is not open to individuals who are temporarily authorized to work in the U.S.

Apply on myjobs.adp.com About employer

More about this job

Skills

Electronic communication
Documentation
Regulatory compliance
Sales
Communication skills
Sales activities
Supervise sales activities
Reporting

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Work requirements

Jobs in the United States