Job Description
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 ourBroker/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 withestablished 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 clearreporting 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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