Compliance Examiner

Position Description:

Ameritas is seeking a Compliance Examiner to ensure the Broker/Dealer and Investment Advisor is in compliance with applicable industry rules (State, FINRA and SEC regulations) and company policies by conducting on-site branch audits and complete written reports detailing examination findings. As part of the Compliance system of supervision, this position is responsible for conducting various tasks (under minimal supervision) toward the overall supervision and oversight of Offices of Supervisory Jurisdiction (OSJ) and Branch Offices of the Broker/Dealer and Investment Advisor.

Position Location:

This position is remote and does not require regular in-office presence. This role will require travel 50% to 70% of the time to cover examinations all over the continental U.S.A. The incumbent in this position is preferred to be located within a 1-hour drive from a major airport to facilitate easier travel.

What you do:

• Conduct examinations of BD/RIA branch offices. This includes scheduling the exams; making travel arrangements; conducting preliminary exam research; coordinating with internal colleagues from various departments to gather data; performing branch office examinations; communicating results of branch office examination via written correspondence; follow up on relevant issues and concerns as deemed necessary.
• Evaluate existing compliance systems with respect to current regulatory requirements. Make recommendations to mitigate regulatory risk.
• Assist Managers and Registered Representatives with understanding firm policies and procedures and implementing compliance systems and practices.
• Meet and correspond with field OSJ Managers, Branch Managers and Registered Representatives to review compliance with Company policies and procedures, as well as FINRA/SEC rules and regulations.
• Provides a timely response to general questions from OSJ Managers, Branch Managers, Registered Representatives and internal colleagues.
• Review/analyze documents and information, conduct research, and perform special projects as assigned.
• 50% - 70% travel. Coordinate own travel arrangements and logistics as needed. Manage travel expenses and complete travel reimbursement reports.
• This position will perform examinations of approximately 70-90 branch office locations per year.
• Other duties as assigned.
  
  
  

What you bring:

• Bachelor’s degree in a relevant field of study, or equivalent combination of education and experience required.
• 3-5 years of related experience in the broker dealer and/or registered investment advisory industry required.
• Previous experience with branch examinations as a compliance examiner desired.
• FINRA series 7 and 24 are required.
• FINRA series 63 and 65/66 are desired. If not already held, these must be obtained within 180 days of starting the role.
  
  
  

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.