Senior Compliance Analyst - Broker Dealer / RIA

Job description

Job Description 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. What you do: This role will 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 you...