Sr. Supervision Principal
Company: Ameritas
Location: United States
Job type: full-time. Experience level: mid.
Skills: Regulatory Compliance, FINRA Series 7, FINRA Series 24, Risk Mitigation, FINRA Series 53, FINRA Series 63.
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.
