Lead Compliance 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 a Compliance Officer with experience in operational oversight of a brokerage firm as well as SEC 38a-1 regulations. 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 performance of daily supervisory activities. 
• Oversight of the branch office inspection process and perform onsite oversight, as required. 
• Participate in oversight of dual-registered representatives. 
• Applies working knowledge of FINRA broker-dealer regulations.
• Oversees retail sales of the Private Placement Variable Annuity product that is distributed by Athene Securities. 
• Participate and coordinate the regulatory review process (new state and federal legislation) and communication of new regulatory items to the business units.  
• Reviews and approves registered product advertising.
• Performs compliance activities as an expert on the team. 
• Collaborate with other technical advisors in Compliance and Legal. 
• Considers and raises compliance risks on the team. 
• Identifies needs during participation in cross-functional projects and raises issues to leadership. 
• Position includes 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 or 7 and 24 required.  Experience performing branch office inspections is a plus.
• Experience with electronic correspondence supervision and/or conflict of interest vendor tools is a plus.
• FINRA Certified Regulatory and Compliance Professional designation (CRCP®) is a plus. 
• At least six 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.    
• Possess a high level of integrity – must always show good judgment and confidentiality.

​Travel requirements – 10-15%. 

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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.