Senior Compliance Analyst - Broker Dealer / RIA

About the position 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.

Responsibilities

• Work across departments to maintain policies, procedures and

business practices that align with regulatory standards for both our Broker/Dealer and Registered Investment Advisor.

• 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.

Requirements

• 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, actional policies, procedures and guidance.

• A proactive mindset is required. Think critically and seek clarity.
• Ability to multitask and work on a number of complex policies at the same

time is required.

• Strong writing and communication skills required.

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.

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