Senior Compliance Analyst - Broker Dealer / RIA

Ameritas•Lincoln, NE

10h•Hybrid

About The Position

This position will play a key role in upholding the regulatory standards of our Broker/Dealer and Registered Investment Advisor. The incumbent helps ensure that policies, procedures, and business practices maintain high standards of regulatory compliance while contributing to a positive experience for our field representatives, internal partners, and customers. This role will balance independent ownership with collaborative partnership, all within a team built on trust. This can be hybrid (Lincoln, NE) or remote depending on proximity to an office location.

Requirements

Bachelor's degree or equivalent combination of education and experience required.
1-3 years of related (broker dealer, registered investment advisor, financial services regulatory) experience required.
FINRA Series 6 required. If not held at the time of joining must be obtained within 6 months.
Exceptional attention to detail required, with the ability to interpret regulatory requirements and convert them into clear, actional policies, procedures and guidance.
A proactive mindset is required. Think critically and seek clarity.
Ability to multitask and work on a number of complex policies at the same time is required.
Strong writing and communication skills required.

Responsibilities

Work across departments to maintain policies, procedures and business practices that align with regulatory standards for both our Broker/Dealer and Registered Investment Advisor.
Research, interpret and apply regulatory requirements to maintain and strengthen AIC and AAS policies and procedures manuals.
Independently analyze moderately complex SEC, FINRA and State rules and regulations and provide proposed updates based on regulatory requirements.
Communicate effectively with stakeholders during the development, drafting and updating of policies and procedures.
Partner with your manager to evaluate regulatory changes, determine applicability, and complete timely documentation updates.
Collaborate with business partners to ensure operational processes align with regulatory standards and are accurately documented.
Collaborate with internal and external business partners to promote an understanding of regulatory requirements and support compliance with established policies and procedures.
Draft clear, timely communications, including alerts, summaries or newsletter articles, regarding regulatory or procedural updates.
Prepare and present materials at compliance meetings, sharing information that support understanding and decision-making.
Monitor and evaluate regulatory issues discovered through regulatory notices, enforcement actions, customer complaints, and exam findings; providing clear reporting and recommendations.
Perform analytical and administrative tasks to support department initiatives and continuous improvement efforts.