Senior Compliance Analyst - Broker Dealer / RIA

Job Description
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.

 

What you do:

This role will 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.

What you bring:

• 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.

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
For your 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.
• Le