Lead Compliance Analyst

Ameritas; Lincoln (NE); Remote; USD 70,000 - 90,000; Full time

Job summary

Ameritas is seeking a Lead RIA Compliance Analyst to manage compliance programs and reporting for its advisory services. The role demands strong analytical skills and a thorough understanding of investment compliance regulations. Candidates should have several years of experience in investment advisory compliance and relevant licenses, ensuring the support of a culture of compliance within a dynamic team environment.

Benefits

401(k) Retirement Plan with company match

Tuition Reimbursement

Flexible Hybrid work

Health Benefits: Medical, Dental, Vision

Paid volunteer time - 8 hours per month

Generous paid maternity and paternity leave

Fertility and adoption assistance

Qualifications

• 3-5 years investment advisory compliance experience required.
• FINRA Series 7 and 65 licenses required.
• Must secure Series 24 within 180 days if not held.

Responsibilities

• File and manage data for annual and quarterly reporting.
• Draft Investment Adviser Policies and Procedures.
• Assist in fielding regulatory questions from Investment Advisers.

Skills

Attention to detail

Multitasking

Communication

Conflict resolution

Education

Bachelor’s degree

Tools

Microsoft Excel

Microsoft Word

Orion

Protegent

Docupace

RegEd

SMARSH

Job description

Position Description:

Ameritas Advisory Services, LLC (AAS) is registered with the Securities and Exchange Commission as an investment adviser. AAS is a wealth management advisory firm with over $11 Billion in AUM as of December 31, 2024, serving predominately retail customers and high net worth individuals through its investment adviser representatives, many of whom are registered representatives of AAS’s affiliated broker-dealer, Ameritas Investment Company, LLC (AIC). AIC and AAS foster an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.

We are currently seeking an experienced individual for the position of Lead RIA Compliance Analyst. This position would work directly with and report to the firm’s Director, RIA Compliance and Communication Review. This individual would assist in implementing and managing the regulatory compliance programs for the firm. The Lead RIA Compliance Analyst will work with other areas serving AAS’ advisory business to assist in managing and maintaining the firm’s overall culture of compliance.

This role will require someone with strong attention to detail and accuracy; the ability to multitask and work under pressure in a fast-paced environment, and to drive projects to completion within prescribed deadlines. To succeed in this role, the ideal candidate will have strong conflict resolution skills and communication skills to build and establish relationships with field partners and associates across a multi-location, multi-disciplinary business environment.

Position Location:

This position is remote (USA) and does not require regular in-office presence.

What you do:

• File and manage data for annual and quarterly reporting including Form ADV, Form 13F, Form 13H, and Form N-PX.
• Compile data, coordinate meetings, and draft minutes for the Best Execution Committee.
• Review and approve Investment Adviser Representative Disclosure Brochures (ADV Part 2B).
• Act as subject matter expert regarding compliance with Rule 206(4)-1, 206(4)-2, and 204-2 of the Investment Advisers Act of 1940.
• Draft Investment Adviser Policies and Procedures.
• Assist with drafting advisory agreements and coordinating reviews with Legal Department.
• Effectively communicate (both verbally and in writing) regulatory and procedural changes and/or important issues to firm employees and/or management and any affected business units.
• Assist in fielding home office and Investment Adviser Representative questions regarding regulatory matters and firm policy.
• Conduct analysis of new rules and regulations, drafts policies and procedures, and support implementation of processes within stated timelines.
• Provide statistical reports and other data to the Director of RIA Compliance and Communication Review, CCO, and Senior Leaders of AIC and AAS.
• Provide cross-training opportunities to other compliance and operational personnel.
• Seek interaction with multiple business units to create productive working relationships.
• Continually develop professionally through self-study and on-the-job training to demonstrate the characteristics of a professional, both in attitude and conduct and preparing for and obtaining professional and industry certifications.
• Other duties as assigned.
  
  
  

What you bring:

• 3-5 years investment advisory compliance experience required.
• Bachelor’s degree or equivalent combination of education and relevant experience required.
• FINRA Series 7 and 65 license (or equivalent) required.
• Ability to work without direct supervision required.
• Strong computer skills, particularly Microsoft Excel and Word required
• FINRA Series 24, 53 (or equivalent) and 63 licenses desired. If not held at the time of joining, must secure the series 24 within 180 days of joining.
• Broker dealer compliance experience desired.
• Compliance designation (CFCP, IAACP, etc.) desired.
• Strong working knowledge of the Investment Advisers Act of 1940 is desired.
• Experience with Orion, Protegent, Docupace, RegEd, and SMARSH or similar systems desired.
• Familiarity with custodial platforms including National Financial Services, Fidelity Institutional, and Schwab desired.
  
  
  

What we offer:

A Meaningful Mission. Great Benefits. A Vibrant Culture

Ameritas is an insurance, financial services and employee benefits provider Our purpose is fulfilling life. It means helping all kinds of people, at every age and stage, get more out of life.

At Ameritas, you’ll find energizing work challenges. Flexible hybrid work options. Time for family and community. But dig deeper. Benefits at Ameritas cover things you expect -- and things you don’t:

Ameritas Benefits

For your money:

• 401(k) Retirement Plan with company match and quarterly contribution
• Tuition Reimbursement and Assistance
• Incentive Program Bonuses
• Competitive Pay
  
  
  

For your time:

• Flexible Hybrid work
• Thrive Days - Personal time off
• Paid time off (PTO)
  
  
  

For your health and well-being:

• Health Benefits: Medical, Dental, Vision
• Health Savings Account (HSA) with employer contribution
• Well-being programs with financial rewards
• Employee assistance program (EAP)
  
  
  

For your professional growth:

• Professional development programs
• Leadership development programs
• Employee resource groups
• StrengthsFinder Program
  
  
  

For your community:

• Matching donations program
• Paid volunteer time- 8 hours per month
  
  
  

For your family:

• Generous paid maternity leave and paternity leave
• Fertility, surrogacy and adoption assistance
• Backup child, elder and pet care support
  
  
  

An Equal Opportunity Employer

Ameritas has a reputation as a company that cares, and because everyone should feel safe bringing their authentic, whole self to work, we’re committed to an inclusive culture and diverse workplace, enriched by our individual differences. We are an Equal Opportunity/Affirmative Action Employer that hires based on qualifications, positive attitude, and exemplary work ethic, regardless of sex, race, color, national origin, religion, age, disability, veteran status, genetic information, marital status, sexual orientation, gender identity or any other characteristic protected by law.