Compliance Analyst II

4 days ago

West Des Moines, United States ATHENE Full time

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 is seeking a Compliance Analyst II to join our Legal & Compliance team. This role supports the Financial Institution/Broker-Dealer suitability delegation oversight process, including certifications, reporting, and auditing. It also assists Athene Securities with FINRA registration, brokerage statement review, advertising review, email surveillance, and training management to meet FINRA requirements, applying a working knowledge of FINRA broker-dealer regulations. This role may involve participating in the regulatory review process and communicating new regulatory items to business units, supporting the 38a-1 process, and overseeing third-party administrators. As a Compliance Analyst II, the role collaborates with technical advisors in Compliance and Legal, contributes independently to the Financial Institutions Oversight team, builds effective relationships with internal parties, and supports other assigned projects.

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 and Athene Securities administration. Serves as a knowledgeable 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.

  • May participate in the regulatory review process (new state and federal legislation) and communication of new regulatory items to the business units.

  • May support the 38a-1 process and third-party administrator (vendor) oversight.

  • Performs compliance activities as an authority on the team. Likely to collaborate with other technical advisors in Compliance and Legal.

  • Independently contributes to the Financial Institutions Oversight team.

  • 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 required, or willingness to obtain within six months of employment.

  • 5+ years of compliance and/or insurance industry experience preferred in lieu of or in combination with a degree.

  • A minimum of 2 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.

  • Internal or external audit experience a plus.

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

Athene is a Military Friendly Employer Learn more about how we support our Veterans.

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.

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