Lead Compliance Analyst
Job Posting for Lead Compliance Analyst at Ameritas
This is a hybrid role working partially in-office and partially from home.
Seeking an independent, diplomatic, analytical-minded person with broker/dealer knowledge and experience.
At Ameritas, fulfilling life is what we do daily. We continuously strive to help our customers and employees enjoy life at its very best by reducing uncertainty, helping grow assets and protecting what is most cherished. We're here to help people put worry behind and the future ahead and help enable a life that's rich in family, happiness, health, and financial security. When lives are fulfilled, our mission is fulfilled.
This position is responsible for ensuring legal and regulatory compliance, by maintaining responsive and collaborative relationships with internal and/or external business partners. This position utilizes regulatory knowledge to review processes and implements solutions to resolve complex problems.
Responsible for monitoring activity and researching matters to identify regulatory issues and recommending solutions/best practices to address the issues noted. This position will be integral in designing and implementing an enhanced surveillance program. This position works independently to resolve moderately complex problems.
What you do
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
Seeking an independent, diplomatic, analytical-minded person with broker/dealer knowledge and experience.
At Ameritas, fulfilling life is what we do daily. We continuously strive to help our customers and employees enjoy life at its very best by reducing uncertainty, helping grow assets and protecting what is most cherished. We're here to help people put worry behind and the future ahead and help enable a life that's rich in family, happiness, health, and financial security. When lives are fulfilled, our mission is fulfilled.
This position is responsible for ensuring legal and regulatory compliance, by maintaining responsive and collaborative relationships with internal and/or external business partners. This position utilizes regulatory knowledge to review processes and implements solutions to resolve complex problems.
Responsible for monitoring activity and researching matters to identify regulatory issues and recommending solutions/best practices to address the issues noted. This position will be integral in designing and implementing an enhanced surveillance program. This position works independently to resolve moderately complex problems.
What you do
- Make recommendations to mitigate regulatory risk. Review, analyze, track, and report on regulatory issues.
- Collaborate with peers across the broker dealer to implement a best-in-class surveillance program.
- Conducts surveillance reviews on a regular basis and investigates concerns as they arise.
- Review and respond to internal and external correspondence.
- Conducts business practice reviews as needed and/or addresses concerns as they arise.
- Serves as subject matter expert for inquiries, investigations, and/or risk review.
- Communicate with internal and external business partners to promote their understanding and compliance with regulatory requirements, policies, and procedures.
- Maintain and promote an awareness of regulatory changes affecting the business; implementing necessary revisions; and informing appropriate internal/external parties.
- Accountable for certain department projects that may impact the enterprise.
- Develop and provide training and guidance to internal and/or external business partners and team members.
- Communicate with internal and external business partners to promote their understanding and compliance with regulatory requirements, policies, and procedures.
- Review, prepare and/or present at compliance meetings.
- Bachelor's Degree or equivalent combination of education and experience required
- 2-4 years related experience required including experience in a broker dealer environment
- FINRA Series 7 required
- FINRA Series 24 preferred. Must be obtained within 12 months of joining if not already held.
- Previous internal audit experience desired but not required
- 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.
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
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Salary.com Estimation for Lead Compliance Analyst in Lincoln, NE
$63,695 to $91,467
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