Now Hiring - Advisor Group - Regional Sales Supervision Principal in La Vista, NE

Field Supervision Opportunity in Financial Services

Regional Sales Supervision Principal (RSSP) – Securities America

Preferred Location: La Vista, NE (Accepting qualified candidates in all locations and remote).

Type: Full-time

Summary:

The primary responsibility of this role 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 building relationships with representatives and OSJs; communicating regularly with representatives and OSJ’s regarding 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. Additionally, the RSSP will also be engaged in the core functions of day-to-day supervision including but not limited to the review of account opening, transactions within client accounts, post-transaction trade review and incoming and outgoing communications between representatives and their clients. The RSSP will also work with other functional areas of the Firm in detecting and addressing trends and patterns of activity through effective analysis and communication.

Responsibilities:

• Build constructive relationships with a wide variety of SAI representatives and OSJs in assigned region through communication, visits (physical and/or virtual), education, and follow-up.
• Supervise sales activity of registered representatives and OSJ’s in assigned territory.
• Hold OSJs in region accountable for the supervision duties they are required to perform.
• Review and approve new account applications, review transactions and account setups for assigned account and product types, and securities transactions for appropriate best interests or appropriate suitability and documentation.
• Review exception reports to address potential sales practice and related supervisory concerns, including such items as active trading, reverse-churning in advisory accounts, switching, account concentrations, cash-concentration in advisory accounts, account losses, and other concerning patterns detected in client account activity in various products and platforms.
• Conduct business practice reviews as needed and investigate sales practice concerns as they arise and communicate effectively regarding matters as necessary.
• Serve on various committees and projects as determined by Deputy Director or Vice President, Field Supervision.
• Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
• Provide feedback and input for policy and process improvement on an ongoing basis.
• All other duties as assigned.

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

• 3+ years of securities industry experience preferably in supervision/compliance
• FINRA Series 7, 24, 66 (or 63 / 65) are required.
• FINRA Series 4 and 53 preferred (May obtain within 12 months of hire)
• Variable Life and Annuity license required (May obtain within 18 months of hire)
• Ability to keep abreast of and adapt to an ever-changing regulatory landscape.
• Ability to analyze sales activities and trends within an advisor’s practice
• Ability to understand a wide variety of representative business models
• Ability to communicate effectively with co-workers, customers, and business contacts in a professional manner both verbally and in writing
• Ability to guide representatives and OSJs to ensure compliance with policies and procedures through communication, education, and possible disciplinary actions
• Ability to organize, prioritize, and handle multiple tasks
• Ability to problem solve and make rule based and analytical decisions
• Ability to work together as a team
• Knowledge of securities industry regulations, terminology, and practices
• Skill in utilizing various business tools such as Microsoft Office & Outlook

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.