Compliance Sr Analyst

Bachelor’s or other Advanced Degree or equivalent combination of education, certification, and experience is required.
FINRA Series 6 and 26 required.
Minimum of 4 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 Senior Analyst.
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.

Management of Athene Securities policies and procedures, including the Written Supervisory Procedures and Compliance Manual.
Build out a branch office inspection process and perform oversight, onsite periodically, as required.
Participate in oversight of dual-registered representatives. Applies working knowledge of FINRA broker-dealer regulations.
Supports the Financial Institution/Broker-Dealer suitability delegation oversight process in the areas of certifications, reporting, and auditing.
May participate and coordinate the regulatory review process (new state and federal legislation) and communication of new regulatory items to the business units.
Performs compliance activities as an expert on the team. Likely to collaborate with other technical advisors in Compliance and Legal.
Build and maintain effective relationships with internal parties to arrive at collaborative solutions.
Considers and raises compliance risks on the team.
Identifies needs during participation in cross-functional projects and raises issues to leadership.
Position could include support for the 38a-1 process and third-party administrator (vendor) oversight and support for the variable policies and procedures.

Experience in performing branch office inspections is a plus.
At least five to seven years of compliance and/or insurance industry experience preferred in lieu of or in combination with a degree.