Regional Supervising Principal

Position Description:
Serve as Supervising Principal of Registered Representatives associated with Ameritas Investment Company (AIC) and Investment Advisor Representatives of Ameritas Advisory Services (AAS). This position is responsible for supervisory and risk functions that address conflicts of interest and monitors advisors' adherence to the impartial conduct standards under the Department of Labor (DOL) fiduciary regulations. Provide DOL regulatory guidance, best interest review, and coordination with those responsible for direct supervision and oversight of the enterprise's broker-dealer and investment advisory distribution channels.
Position Location:
This position is remote and does not require regular in-office presence. This position will cover a territory including New York, Philadelphia, and Washington D.C. areas. Ideally the selected candidate will live in or near that territory.
This role will require travel of up to 50%: 25% to 40% within region listed above, and periodic travel to home office in Lincoln, NE.
What you do:

• Perform periodic on-site and virtual branch and OSJ inspections and educate and ensure advisors and support staff adhere to firm's Written Supervisory Procedures.
• Onboard and educate new advisors and support staff of their responsibilities, obligations and permitted activities under Written Supervisory Procedures.
• Review and approve all U4 and U5 reports, outside business activities (OBAs), personal securities transactions (PSTs) and gift & entertainment reports.
• Serve as point person for regulatory, risk and compliance inquiries. Recommend disciplinary action as needed. Work with Compliance and other business partners to support and resolve regulatory inquiries, audits, and complaints. Identify and implement disciplinary and oversight actions, with oversight by the Rep Conduct Matters (RCM) Working Group.
• Review compliance surveillance exception reports for potential sales practice violations. Review and address sale practice concerns on product switches, sales to seniors, product mix and variable annuity replacements. Follow-up and resolve escalated items including, unsubmitted or incomplete monthly reporting questionnaires, delinquent trade alerts, escalated emails, incomplete training requirements/certifications/attestations.

What you bring:

• Bachelor's degree or equivalent combination of education and experience required.
• 3-5 years of related experience in the financial services (broker dealer and/or registered investment advisor) field required.
• 2+ years of prior experience in field supervision required.
• FINRA series 7 and 24 are required.
• 2+ years of experience in a principal review role desired.
• FINRA series 53 and 66 are desired. If not held, these must be secured with 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.