Senior Risk Management Analyst - BD/RIA

Ameritas • Lincoln, NE

1d • Remote

About The Position

Work as part of a team by assessing the firm's compliance, regulatory and
reputational risk; monitor for compliance with new or amended laws, rules and
regulations; design and implement controls, policies, procedures and training;
conduct independent testing; and investigates, surveil and monitor for
compliance risks and breaches.

Success in this role will involve putting analytical skills into practice, while
giving significant attention to details. Utilize effective communication skills
to validate and confirm information provided by internal stakeholder partners
within the company. This role is critical in ensuring our organization maintains
regulatory compliance while effectively managing risk in our securities business
operations.

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

You will have a high level of exposure across multiple lines of business as
well as the opportunity to create and implement innovative solutions to
identify and mitigate potential risks to the Firm.

Requirements

• Bachelor's degree (finance, business administration, or similar field) or equivalent combination of education and experience required.
• 1-2 years’ experience required, preferably in financial or operational risk management with a focus on identification of key risk factors, including conflict of interest, and development of mitigation methodologies.
• Intermediate to advanced level experience with Microsoft Office products required.
• FINRA Series 7 licenses required. FINRA Series 24 and 66 must be obtained within twelve (12) months of entering role.

Nice To Haves

• Securities industry experience desired, including familiarity with investment products, FINRA, and SEC Rules.
• Financial analysis skills desired.

Responsibilities

• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements.
• Recommend and preform annual compliance testing. This process tests the effectiveness of controls and monitors compliance with regulation and firm policies.
• Coordinate with the Risk and Compliance teams on initiatives and projects.
• Investigate and liaise with internal stakeholders in relation to conduct issues.
• Perform analysis, due diligence, implementation management, and ongoing monitoring of product offerings.
• Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices, and surveillance of client activity.
• Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations.
• Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level