Senior Compliance Analyst - Broker Dealer​/RIA - Lincoln, NE

Senior Compliance Analyst – Broker Dealer / RIA

Job Description: 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.

• 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.

• 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, actionable policies, procedures and guidance.
• A proactive mindset is required. Think critically and seek clarity.
• Ability to multitask and work on multiple complex policies at the same time is required.
• Strong writing and communication skills required.

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.

* Strengths Finder 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.

Ameritas is 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.

This position will be open for a minimum of 3 business days or until filled.

This position is not open to individuals who are temporarily authorized to work in the U.S.

Remote USA Position – Ameritas HQ is Lincoln, Nebraska, United States. (Multiple Locations)

$66,820.00 – $ per year.