Compliance Sr Analyst

We are Athene. At Athene, we are driven to do more. We are a leading retirement services company that issues, reinsures and acquires retirement savings products designed for the increasing number of individuals and institutions seeking to fund retirement needs. We see every day as a new opportunity to measure ourselves against the best - and then we don't stop until we've set the bar even higher. We're ready to help you achieve more.

Purpose:

Athene Securities is expanding its broker-dealer and is looking for an individual with experience in compliance and supervision of a brokerage firm. The primary focus is broker-dealer compliance and supervision, branch office inspections, registered representative oversight, and oversight related to suitability and Regulation Best Interest. Athene Securities is a limited purpose broker-dealer and is a subsidiary of Athene, a leading retirement services company.
At Athene, we are driven to do more. We are a leading retirement services company that issues, reinsures and acquires retirement savings products crafted for the growing number of individuals and institutions seeking to fund retirement needs. We see every day as a new opportunity to measure ourselves against the best - and then we don't stop until we've set the bar even higher.

Accountabilities:

• 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.  Builds and maintains 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.   
• Builds and maintains effective relationships with internal parties to arrive at collaborative solutions.

Qualifications and Experience:

• Bachelor’s or other Advanced Degree or equivalent combination of education, certification, and experience is required.
• FINRA Series 6 and 26 required.  Experience 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.   
• 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.
• Travel requirements – 10-15%. 

Drive. Discipline. Confidence. Focus. Commitment.  Learn more about working at Athene.

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Athene celebrates diversity, is committed to inclusion and is proud to be an Equal Opportunity Employer.  We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, veteran status or any other status protected by federal, state or local law.