Chief Compliance Officer


Are you looking for a strategic RIA and Broker/Dealer compliance opportunity where you can make an impact in strong financial services organization?

Ameritas is seeking a strong VP, Compliance responsible for overseeing the organization's strategic direction of the RIA and Broker/Dealer compliance program as well as for the day-to-day administration of the related compliance policies and procedures. In this role, you will evaluate compliance risk, design and administer an effective compliance program, and continuously identify and report out on opportunities to improve or enhance processes and controls. You will ensure appropriate structuring of the compliance teams to provide optimal alignment and accountability and establish compliance goals and expectations.

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.

Essential Functions

* Create and communicate a vision and strategy for the Registered Investment Advisor (RIA)/Broker Dealer (BD) compliance organization.
* Develop, maintain and execute an effective compliance program designed to ensure the firm's supervision and controls meet regulatory requirements and industry best practices.
* Proactively audit and surveille the firm's systems and activities to detect and resolve potential compliance issues.
* Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance.
* Ensure procedures are appropriately documented and referenced in the Firm's compliance manuals and written supervisory procedures.
* Works with all levels of management to ensure that appropriate supervisory processes and controls are established, documented, and enforced within each of the firm's areas of responsibility;
* Leverage data and analysis, as well as other technology processes, to conduct root cause and trending analyses for compliance risk management purposes
* Conduct and certify the annual B/D and RIA supervisory review in accordance with FINRA and SEC to ensure the firm's supervisory procedures meet expectations
* Establish and oversee heightened supervision for associated representatives, as applicable
* Manage regulatory examinations and investigations conducted by FINRA, SEC and state regulators
* Participate in various firm risk-based committees and management meetings, as required
* Work with the designated AML compliance officer to implement and maintain all mandated AML programs covering both B/D and RIA activities
* Oversee the day-to-day operations, development, and education of associates assigned to compliance activities to ensure effective operations.
* Provides advice to senior leadership on current firm risk, policies, and upcoming regulatory rules and actions.
* Build and maintain strong internal and external relationships to promote collaborative problem solving.
* Represent the organization's Mission, Vision, and Values by exemplifying leadership and customer focus.
* Effectively communicate with key stakeholders and team members to manage risks and remove barriers to achieve expected results.
* Develop and conduct compliance training ensuring courses are compatible with regulations


* Bachelor's degree or equivalent work experience required.
* 10+ years of experience in broker/dealer and/or RIA compliance directly aligned to the specific responsibilities for this role.
* 5+ years management experience including strategy and influencing senior leadership and stakeholders
* Current Series 7 and 24, 65 or 66 required; Series 4, 53 and 57 desired
* Technical and regulatory knowledge of annuity and life insurance
* Working knowledge of FINRA, SEC and state securities rules and regulations
* Knowledge of bond underwriting and Municipal Adviser rules and regulations
* Familiarity with a wide range of investment products and instruments
* Proficiency in understanding and applying regulatory trends

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

Job ID: 5482

Posted 24 days ago

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