Securities America, Inc. Work Values

Daily Duties at Securities America, Inc.:

Instituted and sustained strong supervisory partnerships with Registered Investment Advisers (RIAs), Investment Adviser Representatives (IARs), Office of Supervisory Jurisdiction (OSJ) branch offices and brokers. Conducted supervisory oversight of field operations, suitability transaction reviews, authorized new accounts, reviewed external communication, advertising, governed post trade reviews. Provided support, training, and guidance to the firm’s top producers to develop and maintain a profitable practice through the provisions of risk mitigation and product offerings. Managed the regulatory obligations of 40 branch offices and supervised activities of 300 advisors and provided expertise as home office supervisor to all licensed employees. Ensured that fiduciary concerns were always proactive and vigilant. Counseled RIAs on regulatory initiatives and state and federal securities laws to safeguard compliance. Prepared customized reports to OSJ branch offices to assist with their compliance prioritization process. Developed oversight protocols to enhance the supervisory activities of OSJ branch principals with the goal of regulatory consistency. Led committee that researched gaps in policy and processes then provided discoveries and resolution to stakeholders. Proactively provided counsel and training to internal staff regarding compliance with securities laws and regulations, Investment Advisers Act 1940, and the firm’s written supervisory procedures.

What they like about Securities America, Inc.:

A hiring company that offers alternative approaches to pay, performance bonuses, and/or equity in the firm is very attractive to you. You're generally less interested in working for an organization offering only traditional, salary-based compensation, one with limited opportunity to acquire equity in the firm, or one that does not actively promote skill development. In addition, you are more likely to choose a company that offers a variety of internal career options, with defined career paths. You view the learning of new skills and development of your expertise as key to your career advancement. These aspects of an organization may become even more important to you as you progress in your field, and are especially critical if you change career or occupation.

Tags

Advertising, Sales, Securities, Training, Compliance, Annuity, Best Practices, Business Development, Cams, Change Management, Supervision, Governance

Skills

Advertising, Sales, Securities, Training, Compliance, Annuity, Best Practices, Business Development, Cams, Change Management

These are some of the questions we asked our climbers about their experiences with Securities America, Inc.: