Senior Compliance Analyst - Broker Dealer / RIA
About the position
This position will play a key role in upholding the regulatory standards of our
Broker/Dealer and Registered Investment Advisor. The incumbent helps ensure that
policies, procedures, and business practices maintain high standards of
regulatory compliance while contributing to a positive experience for our field
representatives, internal partners, and customers. This role will balance
independent ownership with collaborative partnership, all within a team built on
trust.
This can be hybrid (Lincoln, NE) or remote depending on proximity to an office
location.
Responsibilities
• Work across departments to maintain policies, procedures and
business practices that align with regulatory standards for both our
Broker/Dealer and Registered Investment Advisor.
• Research, interpret and apply regulatory requirements to maintain and
strengthen AIC and AAS policies and procedures manuals.
• Independently analyze moderately complex SEC, FINRA and State rules and
regulations and provide proposed updates based on regulatory requirements.
• Communicate effectively with stakeholders during the development, drafting
and updating of policies and procedures.
• Partner with your manager to evaluate regulatory changes, determine
applicability, and complete timely documentation updates.
• Collaborate with business partners to ensure operational processes align with
regulatory standards and are accurately documented.
• Collaborate with internal and external business partners to promote an
understanding of regulatory requirements and support compliance with
established policies and procedures.
• Draft clear, timely communications, including alerts, summaries or newsletter
articles, regarding regulatory or procedural updates.
• Prepare and present materials at compliance meetings, sharing information
that support understanding and decision-making.
• Monitor and evaluate regulatory issues discovered through regulatory notices,
enforcement actions, customer complaints, and exam findings; providing clear
reporting and recommendations.
• Perform analytical and administrative tasks to support department initiatives
and continuous improvement efforts.
Requirements
• Bachelor's degree or equivalent combination of education and experience
required.
• 1-3 years of related (broker dealer, registered investment advisor, financial
services regulatory) experience required.
• FINRA Series 6 required. If not held at the time of joining must be obtained
within 6 months.
• Exceptional attention to detail required, with the ability to interpret
regulatory requirements and convert them into clear, actional policies,
procedures and guidance.
• A proactive mindset is required. Think critically and seek clarity.
• Ability to multitask and work on a number of complex policies at the same
time is required.
• Strong writing and communication skills required.
Benefits
• 401(k) Retirement Plan with company match and quarterly contribution.
• Tuition Reimbursement and Assistance.
• Incentive Program Bonuses.
• Competitive Pay.
• Flexible Hybrid work.
• Thrive Days - Personal time off.
• Paid time off (PTO).
• Health Benefits: Medical, Dental, Vision.
• Health Savings Account (HSA) with employer contribution.
• Well-being programs with financial rewards.
• Employee assistance program (EAP).
• Professional development programs.
• Leadership development programs.
• Employee resource groups.
• StrengthsFinder Program.
• Matching donations program.
• Paid volunteer time– 8 hours per month.
• Generous paid maternity leave and paternity leave.
• Fertility, surrogacy, and adoption assistance.
• Backup child, elder and pet care support.
Apply tot his job
Apply To this Job
This position will play a key role in upholding the regulatory standards of our
Broker/Dealer and Registered Investment Advisor. The incumbent helps ensure that
policies, procedures, and business practices maintain high standards of
regulatory compliance while contributing to a positive experience for our field
representatives, internal partners, and customers. This role will balance
independent ownership with collaborative partnership, all within a team built on
trust.
This can be hybrid (Lincoln, NE) or remote depending on proximity to an office
location.
Responsibilities
• Work across departments to maintain policies, procedures and
business practices that align with regulatory standards for both our
Broker/Dealer and Registered Investment Advisor.
• Research, interpret and apply regulatory requirements to maintain and
strengthen AIC and AAS policies and procedures manuals.
• Independently analyze moderately complex SEC, FINRA and State rules and
regulations and provide proposed updates based on regulatory requirements.
• Communicate effectively with stakeholders during the development, drafting
and updating of policies and procedures.
• Partner with your manager to evaluate regulatory changes, determine
applicability, and complete timely documentation updates.
• Collaborate with business partners to ensure operational processes align with
regulatory standards and are accurately documented.
• Collaborate with internal and external business partners to promote an
understanding of regulatory requirements and support compliance with
established policies and procedures.
• Draft clear, timely communications, including alerts, summaries or newsletter
articles, regarding regulatory or procedural updates.
• Prepare and present materials at compliance meetings, sharing information
that support understanding and decision-making.
• Monitor and evaluate regulatory issues discovered through regulatory notices,
enforcement actions, customer complaints, and exam findings; providing clear
reporting and recommendations.
• Perform analytical and administrative tasks to support department initiatives
and continuous improvement efforts.
Requirements
• Bachelor's degree or equivalent combination of education and experience
required.
• 1-3 years of related (broker dealer, registered investment advisor, financial
services regulatory) experience required.
• FINRA Series 6 required. If not held at the time of joining must be obtained
within 6 months.
• Exceptional attention to detail required, with the ability to interpret
regulatory requirements and convert them into clear, actional policies,
procedures and guidance.
• A proactive mindset is required. Think critically and seek clarity.
• Ability to multitask and work on a number of complex policies at the same
time is required.
• Strong writing and communication skills required.
Benefits
• 401(k) Retirement Plan with company match and quarterly contribution.
• Tuition Reimbursement and Assistance.
• Incentive Program Bonuses.
• Competitive Pay.
• Flexible Hybrid work.
• Thrive Days - Personal time off.
• Paid time off (PTO).
• Health Benefits: Medical, Dental, Vision.
• Health Savings Account (HSA) with employer contribution.
• Well-being programs with financial rewards.
• Employee assistance program (EAP).
• Professional development programs.
• Leadership development programs.
• Employee resource groups.
• StrengthsFinder Program.
• Matching donations program.
• Paid volunteer time– 8 hours per month.
• Generous paid maternity leave and paternity leave.
• Fertility, surrogacy, and adoption assistance.
• Backup child, elder and pet care support.
Apply tot his job
Apply To this Job