Lead Compliance Analyst - Advertising and Communication Review

Position Description: 

 

Ameritas Investment Company, LLC (AIC) is a broker dealer registered with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA).  AIC is also a municipal securities underwriter and adviser registered with MSRB. Ameritas Advisory Services LLC (AAS) is an affiliated investment adviser registered with the SEC. AIC and AAS serve predominantly retail customers and high net worth individuals through their network of financial professionals. 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.

 

AIC and AAS are currently seeking an experienced individual for the position of Lead Compliance Analyst reporting directly to the Director, RIA Compliance. This individual would review advertising and communications for the firm and its financial professionals to ensure compliance with FINRA, MSRB and SEC regulations. The Lead Compliance Analyst will also support the firm’s compliance program through drafting policies, procedures, and disclosures while working with other areas to assist in managing and maintaining the firm’s overall culture of compliance.

 

This role will involve work which requires a strong attention to detail and accuracy.  The incumbent in this role will need to multi-task and work well under pressure in a fast-paced environment to be successful.  Transfer knowledge to others on how to adhere to industry advertising regulations.  Work with limited or minimal direct supervision. 

 

Position Location:

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

 

What you do:

• Review marketing materials submitted by AIC and AAS financial professionals to ensure compliance with FINRA, SEC and MSRB rules.
• Review electronic communications including social media, email, and other applications for financial professionals and employees.
• Review marketing and communications materials created by Ameritas’s corporate marketing team to ensure compliance with FINRA, SEC and MSRB rules.
• Review requests for new and existing technology vendors to ensure compliance with policies and procedures.
• Effectively communicate applicable regulatory requirements, internal policies and/or important issues to financial professionals, firm employees, and any affected business units
• Provide cross-training opportunities to other compliance and operational personnel
• Interact with multiple business units to create productive working relationships
• 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.
• Other duties as assigned.

What you bring: 

• 3-5 years Broker Dealer and/or Investment Advisory marketing and communication review experience required.
• Bachelor’s degree or equivalent combination of education and business experience required.
• Strong working knowledge of FINRA Rule 2210 and Rule 206(4)-1 of Investment Advisers Act, and familiarity with Rule 482 of the Investment Company Act and MSRB Rule G-21 required.
• Strong written and verbal communication skills required.
• FINRA Series 7, 24, Series 65 or 66 (or equivalent) are required.
• FINRA Series 53 is required.  If not already held, this must be secured within 90 days of hire.
• Strong computer skills, particularly with Microsoft Office products, are required.
• Experience with Orion, RegEd, and SMARSH or similar systems desired.
• Compliance designation desired.
• Ability to effectively communicate, verbally and in writing, to establish working relationships with many different individuals in a multi-location, multi-disciplinary business environment. 

 

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.