Senior Compliance Analyst


Are you ready to work with a purpose? The Senior Compliance Analyst opening seeks an independent, diplomatic, analytical-minded person with broker/dealer knowledge.

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.

The Senior Compliance Analyst is 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.

Essential Functions

* Review, analyze, track, and report on regulatory issues.
* Collaborate with peers to implement a best-in-class surveillance program.
* Conducts surveillance reviews on a regular basis and investigates concerns as they arise.
* Seeks resolutions to internal and/or external correspondence or client situations which may include in-depth research, recommending solutions, and coordinating responses.
* Communicate with internal and external business partners to promote their understanding and compliance with regulatory requirements, policies, and procedures.
* Perform research and analysis, often very detailed, in support of departmental initiatives.
* Review, prepare and/or present at compliance meetings.


* Bachelor's Degree or equivalent experience
* 2 years related experience required
* Prefer experience working in a broker dealer.
* Prefer Series 7, or must be obtained within 6 months
* Prefer Series 24, or must be obtained within 12 months

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

Job ID: 5865

Posted 16 days ago

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