Sr. Compliance Analyst

Sr. Compliance Analyst

This position could be remote (NE, KS, MO, IA or OH) or could be hybrid (Lincoln, NE) depending on proximity to an office location.

Research regulations to maintain policies and procedures for Ameritas Investment Company/Ameritas Advisory Services manuals. Monitor activity and research matters to identify regulatory issues. Partner with internal business stakeholders to ensure documented procedures are meeting regulatory needs. Prepare written alerts or newsletters to the field sales force to keep them informed on changes. This position contributes to customer loyalty and retention by utilizing regulatory knowledge to review or research processes and provide recommendations.

As a secondary function, this position will assist with regulatory inquiries and investigations. Research and respond to customer complaints identified via multiple channels. Prepare written responses to customers and/or regulatory agency. This role will work independently to resolve moderately complex problems.

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.

What you do

• Review, analyze, track, and report on regulatory issues that we become aware of through regulatory notifications, enforcement actions, customer complaints, and examination findings.
• Communicate effectively in writing and verbally regarding regulatory summaries, drafting/updating new policies and procedures.
• Collaborate with manager to ensure awareness, assess applicability, and make timely and adequate documentationupdates to meet regulatory requirements.
• Conducts reviews as needed and investigates concerns as they arise.
• Seeks resolutions to internal and/or external correspondence or client situations which may include researching,recommending, coordinating responses.
• Communicate with internal and external business partners to promote their understanding and compliance with regulatoryrequirements, policies, and procedures.
• Perform research, analytical, and administrative functions in support of departmental initiatives.
• Review, prepare, and present at compliance meetings.

What you bring

• Bachelors Degree or equivalent combination of education and experience required.
• 2 years of related experience in either legal or regulatory compliance field required.
• FINRA Series 6 required or must be obtained within 6 months of starting role.
• FINRA Series 7 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.
• Were 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 youd 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, were 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.