Rep Relations Specialist (Current Employee) – Omaha, NE – February 2, 2016
Typical day is being on the phone the majority of it assisting reps with issues while attempting to stay within stat requirements. Co-workers are mostly willing to help each other out. The hardest part of this job is not really being able to train for it because every call is different. Management is decent, we are greeted by team managers on a mostly daily basis and for monthly, semi-annually and annual reviews.
Compensation Researcher (Current Employee) – La Vista, NE – February 5, 2016
The company has a strong ethic to providing services for it's representatives however it lacks the actual implementation. The benefits are lack luster and the company is having a hard time adjusting to a changing demographic of employees
Associate Analyst and Analyst II (Former Employee) – La Vista, NE – June 19, 2015
Everyday had deadlines and quick turn-around expectations for research requests, but management was well-organized and co-workers worked as a team to feel accomplished and satisfied by the end of the day. The hardest part of the job was transferring to a new program platform that still had some kinks to be worked out; we were behind schedule and testing the program as we performed our normal functions. It meant working overtime and on weekends. The most enjoyable aspect was the environment; laid back despite heavy work-loads at times; I appreciated that they trusted us enough to not micromanage. The management was excellent and always listened to our needs or suggestions, plus they took the time to get to know us personally.
Technical Support Specialist (Former Employee) – La Vista, NE – July 9, 2015
I really enjoy the day to day knowledge of my position. Being on the front end of technology you never stop learning and growing in your position. I have learned that patience is one of the biggest keys to success, if you are patient opportunities will come to you.
Receptionist (Former Employee) – Casselton, ND – April 6, 2015
Part time position and very serious. This job you are dealing with clients money and there is no messing around. The hours were nice as it was 8am to 4pm Monday through Friday with no holidays. Was located in a bank so were given the same days off. Learned a lot about stocks and bonds and how to invest money.
Compliance Examiner ---Great job but had very challenging senior team member.
Compliance Examiner (Former Employee) – Chicago, IL – July 6, 2012
I loved the position as a Compliance Examiner. The company is a small independent broker dealer that cleared through NFS and Pershing. My senior team member was very unstable and was very difficult to work with on a daily basis. I was the only team member in the office, which made it difficult to avoid contact with her. I found out that I was the fourth examiner to work under/with her. Satellite office was consolidated to the company headquarters in Omaha.
Registered Representative (Former Employee) – Rancho Cucamonga, CA – August 1, 2013
~Working as an independent contractor, was in charge of my own business. ~Having your own business can be difficult. Having one of the top B/D's is critical. ~Great staff, with tremendous support. ~It's not hard doing what you love to do. ~Being in charge of your own destiny is a great accomplishment.
working as a sole proprietor requires effort to have comradery in the industry.
Sales Supervision-Analyst II (Current Employee) – Omaha, NE – May 31, 2014
Over the last 2 years at Securities America, I've been able to further advance my knowledge of our current systems (Compliance Review Utility, Adtrax, EOffice, Outlook, Excel, Access, Robohelp, FBSI, Star Station, MIPS, and Relationship Management Utility). I've also learned how to manage my relationships with our representatives to ensure maximum review efficiency. In order to do this, I have had to master my communication skills (both written and oral) to effectively answer questions and perform high quality reviews. Additionally, I have found that it is important to be able to ask questions in order to learn the most from each situation. I am a very fast learner, catching onto new concepts rather quickly. After only 9 months with Securities America, I was offered a position in Compliance. After just 6 months as an Analyst 1 in Compliance Communications Review, I was promoted to Analyst 2. I truly enjoy challenges and thrive for opportunities to grow professionally. Just recently, I accepted a promotion to Analyst 2 in Sales Supervision.
Over the last 2 years at Securities America, I've earned the following licenses: Series 7, Series 24, Series 66, and Series 4. I've also completed the SA University Program. I have over 4 years of experience working in the financial services industry and over 6 years working in the business world. Over the last year in Compliance, I have become one of the most knowledgeable people working with Marketing Library and Social Media reviews, have taken over our CCR Access Database and regularly updated it, and started revamping the CCR Resourcemore... Center to more accurately assist analysts’ needs. I also quickly became the Compliance Social Media Analyst. I reviewed all Social Media posts through Smarsh on a daily basis to ensure compliance with policy.
The hardest part of a job in Compliance and Supervision is being able to adapt to the ever-changing regulations and effectively implement risk management strategies.
My favorite part of my job is the opportunity for growth.less