Manager, RIA Sales Supervision

Ameritas; Lincoln Center (KS); Remote; USD 80,000 - 120,000; Full time

Job summary

Ameritas is seeking a motivated professional to manage the RIA Supervision Team, overseeing compliance with regulatory requirements and firm policies. The ideal candidate will have a strong background in compliance oversight, risk mitigation, and team leadership, with responsibilities including team development and technology enhancement.

Benefits

401(k) Retirement Plan with company match

Tuition Reimbursement and Assistance

Flexible Hybrid work

Paid time off (PTO)

Health Benefits: Medical, Dental, Vision

Professional development programs

Generous paid maternity and paternity leave

Paid volunteer time– 8 hours per month

Qualifications

• 4-7 years of experience in investment adviser compliance or supervision.
• FINRA series 7 and 24 licenses required.
• Proven ability to communicate effectively across all levels.

Responsibilities

• Lead and develop a team of Supervision Principals.
• Evaluate and enhance supervision tools and technology.
• Prepare and deliver regular reports to senior compliance leadership.

Skills

Compliance oversight

Risk mitigation

Team leadership

Analytical skills

Communication

Education

Bachelor’s degree in finance, accounting, business, or similar

Tools

Surveillance platforms (e.g., Smarsh, Actiance)

Job description

Description

Position Description:

We are seeking a motivated professional to manage the RIA (Registered Investment Adviser) Supervision Team. This person will oversee day-to-day supervision activities to ensure compliance with regulatory requirements (SEC, FINRA where applicable, and state regulations) and firm policies. The ideal candidate will possess deep knowledge of RIA business models, supervision and/or surveillance tools, and a strong background in compliance oversight, risk mitigation, and team leadership. The team also supports broker/dealer supervision activities, such as account acceptance and transaction review.

This role will lead compliance teams in a fast-paced, highly regulated environment. Leverage familiarity with hybrid RIA/BD models and dual registrants. Utilize previous experience with SEC exam preparation and remediation. Implement improved levels of technology and automation (RegTech) to achieve surveillance innovation.

Position Location:

This position is remote (NE, SD, KS, MN, IA, MO, WI, IL, IN, MI, OH, KY) and does not require regular in-office presence.

What you do:

• Lead and develop a team of Supervision Principals responsible for the ongoing monitoring of RIAand B/D activities.
• Provide coaching, training, and performance evaluations to ensure a high-functioning and knowledgeable team.
• Foster a culture of compliance, integrity, and continuous improvement.
• Evaluate and enhance supervision tools and technology to improve coverage and efficiency.
• Lead projects focused on data analytics, automation, and reporting enhancements.
• Maintain documentation of procedures, risk assessments, and findings.
• Oversee the creation, implementation, and refinement of RIA-specific surveillance protocols.
• Prepare and deliver regular reports to senior compliance leadership regarding key metrics, findings, and escalations.
• Serve as the primary liaison for RIA surveillance matters during regulatory exams and internal audits.
• Escalate significant issues or potential violations promptly and appropriately.

What you bring:

• Bachelor’s degree in finance, accounting, business, or a similar field; or an equivalent combination of education and experience required.
• 4-7 years of experience in investment adviser compliance, supervision, surveillance, or a related field required.
• Previous people management or leadership experience required.
• Proven ability to communicate effectively across all levels of the organization required.
• Strong understanding of RIA regulations, fiduciary responsibilities, and industry best practices required.
• FINRA series 7 and 24 licenses required.
• FINRA series 4, 53, 65/66 licenses are desired.
• Experience with surveillance platforms (e.g., Smarsh, Actiance, ComplySci, or similar tools) and data analytics desired.
• Demonstrated analytical, organizational, and problem-solving skills desired.

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

Foryour 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.