Senior Risk Management Analyst - BD/RIA

Job Description
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.

What you do:

• 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.
• 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.

What you bring:

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

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, were 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.

Application Deadline
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.

Pay:

$65,382.00

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$107,880.00