Ameritas Life Insurance Corp.
Receive alerts when this company posts new jobs.
Regulatory Compliance Analyst
at Ameritas Life Insurance Corp.
Job TitleRegulatory Compliance Analyst
LocationAmeritas Investment Corp-NELK5
Area of InterestCompliance
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.
Ameritas Life Insurance Corp is seeking a Regulatory Compliance Analyst to drive the business by supporting the Policies & Procedures Manager in AIC's Compliance Department in developing, disseminating, and maintaining effective compliance policies and written supervisory procedures to promote legal and regulatory compliance. Incumbent actively supports the firm's adherence to Federal and State regulations promulgated by the SEC, FINRA, MSRB and other entities.
Essential Job Functions
- Perform daily review, analysis, tracking, and reporting on regulatory developments that may impact AIC.
- Collaborate with manager and other AIC department contacts to ensure awareness, assess applicability, and make timely and adequate policy updates to meet regulatory requirements, taking into account AIC's business model, risk level, and other factors.
- Research, draft, edit, gain approval, disseminate, archive and maintain firm Policies and Procedures, Written Supervisory Procedures, and Investment Advisory Procedures, related manuals, and input by firm stakeholders throughout the policy management lifecycle.
- Create Compliance Alerts for the Field to communicate new requirements or other items for attention and action.
- Speak with registered representatives in the field via phone, email, and conference calls to promote their understanding and compliance with regulatory requirements and AIC policies and procedures.
- Review current firm policies and practices for potential enhancements to aid in compliance with existing and new rules as needed.
- Assist in tracking and prioritization of firm research and policy work items.
- Perform research, analytical, and administrative functions in support of departmental initiatives.
- Partner with Surveillance to ensure procedures can be tested and are incorporated into the inspection process.
- Contribute to monthly newsletter with policy focused content
- Attend AIC and/or industry conferences and webinars
- Assist the Compliance department with regulatory inquiries
- Participate in AIC quality and service initiatives
- Ownership of individual performance plan
- Other duties as assigned
- Strong interest in and ability to research and analyze securities industry rules and regulations
- College degree or equivalent work experience required
- FINRA Series 7 license required within 6 months
- Series 24, 53, and 63/65 or 66 strongly preferred
- Strong computer skills, particularly with Microsoft Word, Excel, Visio, back office applications, and web based tools
- Working knowledge of Westlaw Next is preferred
- Ability to establish effective working relationships with individuals across position levels, departments, and geographical lines to motivate others toward a common goal
- Working knowledge of AIC's B/D and RIA policies and procedures
- Capacity to thrive without direct supervision
- Propensity to question the status quo
- Ability to document processes and procedures
- Ability to transfer knowledge effectively
- Exceptional oral and written communication skills
- Superior analytical and organizational skills, detail orientation, and flexibility required
- Insistence on quality, urgency, and accountability
We are Ameritas: proud to say we're in the business of fulfilling life.