Compliance Analyst II

Purpose :

This role will work with both Athene, a leading retirement services company, and its subsidiary, Athene Securities, a limited purpose broker-dealer.

Focus of position is Financial Institution / Broker-Dealer Suitability Delegation support, Athene Securities administration and project oversight of new state and federal regulations.

Serves as an expert business resource for compliance oversight of our partner Financial Institutions and Broker-Dealers.

Considers and raises compliance risks on the team. Identifies needs during participation in cross functional projects and raises issues to leadership.

Accountabilities :

• Supports the Financial Institution / Broker-Dealer suitability delegation oversight process in the areas of certifications, reporting and auditing.
• Supports Athene Securities in the areas of FINRA registration, brokerage statement review, advertising review, email surveillance and management of training to meet FINRA requirements.

Applies a working knowledge of FINRA broker-dealer regulations.

• Participates and coordinates the regulatory review process (new state and federal legislation), communicates new regulatory items to the business units and oversees the projects to completion.
• Performs compliance activities as an expert on the team. Likely to train newer team members and collaborate with other technical advisors in Compliance and Legal.
• Independently manages or contributes to implementation of compliance tools to support the Financial Oversight team :
• Guide project definition, issue identification and testing. Act as liaison between project vendor / team and leadership team as it relates to compliance and regulatory risks.

Provide professional, timely and appropriate communication of project status and progress toward meeting project scope and objectives.

• Builds and maintains effective relationships with internal parties to arrive at collaborative solutions.
• Supports other project duties as assigned.

Qualifications and Experience :

• Bachelor’s or other Advanced Degree or equivalent combination of education, certification, and experience is required.
• FINRA Series 6 and 26 strongly preferred.
• At least four years of compliance related and / or insurance industry experience required.
• Minimum of two years of compliance specific experience, including detailed understanding of annuities and life insurance products, how they function, and key aspects of their administration is preferred
• Excellent verbal and written communication with the ability to influence across departments and persuasively build coalitions for new initiatives / ideas, which will include leading cross-functional activities of participants who do not report to the Compliance Analyst II.
• Results oriented individual with proven track record of taking ownership to complete program / projects on time and according to agreed-upon project expectations with the ability to direct, manage, and message change throughout the project lifespan.
• PC skills, including experience with Microsoft Office and other applicable software.
• Possess a high level of integrity must always show good judgment and confidentiality.
30+ days ago