Ameritas Life Insurance Corp.

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Senior Sales Supervision Analyst

at Ameritas Life Insurance Corp.

Posted: 10/24/2017
Job Reference #: 5000267142906
Categories: Sales
Keywords: sales

Job Description

Job Title

Senior Sales Supervision Analyst

Location

Ameritas Life-Lincoln-NELK2

Area of Interest

Insurance

Full-Time/Part Time

Full-time

Job Description

At Ameritas, fulfilling life is what we do daily. We continuously strive to help our customers and employees enjoy life at its very best by reducing uncertainty, helping grow assets and protecting what is most cherished. We're here to help people put worry behind and the future ahead and help enable a life that's rich in family, happiness, health and financial security. When lives are fulfilled, our mission is fulfilled.

Ameritas Life Insurance Corp is seeking a Sales Supervision Analyst to 

supervise the sales activities related to suitability of registered representative sales, as well as quality assurance for Ameritas Investment Corp.

Essential Functions

 

  • Directly supervise sales activity of assigned representatives by reviewing and approving customer accounts, daily transactions, and ongoing activity, conducts 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.
  • Analyze sales activities and trends via exception reports to determine if activitiy is within Firm and regulatory guidelines.
  • Provide Principal review and approval on a variety of transactions for suitability and documentation of all products, including fixed income products, equities, UIT's, REITS, 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 OSJs in assigned segments through communication, visits, education and follow-up.
  • 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 take corrective actions which may require client and/or representative contact.
  • Assist with regulatory exams and requests as well as assist with the maintenance of the department's written supervisory procedures.
  • Ability to understand a wide variety of representative business models and to spot trends and potential pitfalls in those models.
  • Provide education and training to Representatives and OSJs on compliance through communication, educational activities and possible disciplinary actions.
  • Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner.
  • Ability to problem solve and make rule-based and analytical decisions.
  • Ability to organize, prioritize, and handle multiple tasks.
  • Knowledge of securities industry regulations, terminology and practices.
  • Skill in utilizing various software packages such as Microsoft Office & Outlook
  • Skilled in written and verbal communications.

 

 

Requirements

  • A four-year college degree is required and a minimum of 8+ years experience in the securities industry with at least 5 years working as a supervising principal.
  • Thorough understanding of FINRA, SEC, MSRB, SRO rule, DOL and other applicable regulations and an advanced understanding and awareness of legal and regulatory landscape, and state regulation of insurance.
  • NASD exams Series 4, 7, 24, 53 and/or 63 & 65 or 66
  • Good understanding of the financial services/insurance industry; enterprises' business, operations, products, and objectives
  • Ability to communicate effectively and to establish working relationships with many different individuals across geographical lines.
  • Proficient in personal computer technology, website technology, Protegent Surveillance System, and National Financial clearning firm related technologies
  • Extensive knowledge and experience with both the financial and regulatory aspects for a wide range of products covered by the Series 24 principal registrations including fixed income products, equities, UIT's, limited partnerships REITS, other direct participation programs, mutual funds, 529 Plans, variable annuities, variable life products, structured products, and investment advisory products.
  • Ability to confront conflicts and difficult issues in a professional, collaborative and proactive manner and to operate naturally in a team environment committed to mutual support and collective success with our business units and field partners.
  • Excellent analytical skills and seasoned judgments, including adaptability to new information and challenges, identify trends and highlight training opportunities.