Director Risk Management

This is a hybrid role working partially in-office and partially from home.

At Ameritas, our mission is Fulfilling Life. We do that in many ways, but especially by helping people invest in themselves by offering trusted financial products and advice. Because we believe everyone should be happy, healthy, and financially secure, we work hard to provide trusted financial products and valued guidance, including individual life and disability insurance, employee benefits, retirement planning, investments, and wealth management services.

Ensure that the organization complies with the legal and regulatory requirements of the Broker Dealer and Registered Investment Advisor markets in which it operates and mitigates risk exposure. Develop and maintain relationships with members of regulatory bodies and conduct periodic internal audits to prevent regulatory or internal governance discrepancies.

Develop and implement preventative policies and programs to correspond with and in respond to external regulations. Monitor and handle compliance related business conflicts. Responsible for the broker dealer (Ameritas Investment Company) and R.I.A. (Ameritas Advisor Services) operational risk management strategy, implementation, and evaluation.

Identify, facilitate, and implement appropriate controls that create effective risk management of business efforts and ensure business continuity. This position also provides strategic and leadership direction for records and information management for the organization.

What you do

• Manage the implementation of all aspects of the risk function, including implementation of processes, tools, and systems to identify, assess, measure, manage, monitor and report risks.
• Oversee the internal Testing Program for AIC and AAS to ensure compliance with FINRA Rule 3120, DOL PTE 2020-02, among others.
• Assist in the development of and manage processes to identify and evaluate business areas' risks and risk and control self-assessments and coordinate risk activities and reporting at the enterprise level.
• Manage the Surveillance Program for AIC and AAS.
• Mange the process of identifying, mitigating, monitoring, and disclosing conflicts through work with all business areas and the contracting process.
• Build and cultivate internal and external relationships to promote and grow the business.
• Ensure that product due diligence processes are consistent, accurate, and on time, and continuously evaluate and improve processes.
• Prepare reports and analysis for use by senior executives.
• Maintain relationships with third party due diligence review companies. Pursue additional support mechanisms to assist in the due diligence process.
• Oversight and accountability of risk functions and business continuity plans while focusing on results and measurements.
• Build strategy around the organization’s Mission, Vision, and Values.

What you bring

• Bachelor level degree in a relevant field of study; or equivalent combination of education and experience required
• 7 or more years of relevant experience required in some combination of the following areas:
• B.D./R.I.A.
• Compliance
• Securities supervision
• or Risk Management
• FINRA Series 7 is required, or ability to secure within 6 months of start.
• FINRA Series 24 and 66 preferred.

What we offer

• Our company motto is “Fulfilling Life” and we take that job seriously, with a heavy commitment to volunteering and community support, employee well-being, and providing quality products and services that help our customers create a brighter future.
• Being a mutual-based organization, the return on our investment goes back into the company, to benefit our members/customers.
• We’re committed to professional development, opportunity, inclusion, and diversity. Team building and collaboration are also priorities.
• A total rewards package with all the comprehensive health and welfare benefits you’d expect, including competitive pay and incentives, 401(k), flexible work schedules and time off to care for yourself and others.
• Additional popular benefits, including tuition reimbursement, and student loan repayment, an incentivized well-being program, adoption assistance, paid time off for volunteering, training, and career development opportunities.

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.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled