Compliance Specialist


Lincoln, NE Technology
Utilize Series 7 and FINRA regulatory knowledge to help Ameritas maintain compliance.

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 Compliance Specialist to drive the business by ensuring the Firm is in compliance with applicable industry rules (FINRA, SEC, State, MSRB and DOL regulations) and company policies. As part of the Compliance system of oversight, this position is responsible for conducting various tasks (under minimal supervision) and making recommendations toward the overall compliance responsibilities of the Firm.

Essential Job Functions

* Assist with the filing and data management in support all of the below duties including the ADV filings
* Coordinate and conduct various compliance and oversight for supervisory activities
* Contribute to designing and implementing surveillance and supervisory processes and procedures including over-site testing
* Assist Compliance Examiners with their exercise of office inspections, Conduct OSJ and branch office inspections as needed
* Assist in internal investigations of RR and IAR activities
* Assist in fielding RR and IAR questions
* Participate in the annual review of the IAR Compliance and Supervisory Manuals
* Assist in the coordination of the AIC Advisory Annual Review
* Provide statistical reports and other data to the Director of RIA Compliance and CCO within the Compliance Department
* Provide cross-training opportunities to other compliance and operational personnel
* Monitor, and assist in implementing, new fiduciary standards for AIC as a broker dealer
* Conducts detailed reviews of assigned organizational and functional activities by mapping manual and automated processes; and evaluates the adequacy and effectiveness of management controls over those activities.
* Determines if organizational units are performing their operational control activities in accordance with Company Policies and Procedures and Written Supervisory Procedures.
* Prepares work papers documenting results of the tests, including formal audit comments which identify and quantify the impact on business operations.
* Recognizes and recommends to management opportunities for improved methods to enhance efficiencies, controls and policies
* Seeks interaction with multiple business units to create productive working relationships, relays test results to business units and works with them to create an appropriate action plan.
* Continues to develop professionally through self-study and on-the-job training through demonstrating the characteristics of a professional, both in attitude and conduct and preparing for and obtaining professional and industry certifications.
* Conducts detailed ad hoc investigations of specific projects as assigned.
* Review current firm policies and practices through oversight tests for potential enhancements to aid in compliance with existing and new rules as needed.
* Perform research, analytical, and administrative functions in support of departmental initiatives.
* Other duties as assigned.


* Prior or current Series 7 and knowledge of Investment Advisory and FINRA rules a plus.
* RIA compliance experience helpful.
* Four year college degree or equivalent business experience.
* Statute and rule interpretation and analysis.
* The incumbent must be licensed as follows or be able to obtain the following licenses within 9 months of occupying this position: FINRA Series 7 and 24, and the Series 65 or 66 (or equivalent).
* Strong computer skills, particularly Microsoft Access and Excel. Must also be able to develop Proficiency in Word, Internet Explorer, imaging, web-based, back-office applications and FINRA CRD/IARD system.
* Analytical skills, detail oriented, flexible, decisive and very well organized. Ability to coordinate several activities and to quickly analyze and define problems is required.
* Strong conflict resolution skills.
* Must be able to work without direct supervision.
* Ability to communicate effectively and to establish working relationships with many different individuals across geographical lines.
* Ability to train others and to transfer knowledge.
* Ability to work with others in a multi-location business environment.

We are Ameritas: proud to say we're in the business of fulfilling life.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled

Job ID: 2642

Posted 4 months ago

Share This Job