Posted: January 5, 2012

Chief Compliance Officer - Risk Management

Ameritas Investment Corp. (AIC)
Lincoln, NE

Required Knowledge and Skills: This position requires considerable experience in general functions and regulatory requirements of a broker dealer. The incumbent must have a track record of achievement.A broad base of general business knowledge is required, with a high level of appreciation of the trends in regulatory matters. The incumbent will need strong managerial and operational experience, as well as a high level of interpersonal and communication skills.The incumbent must be able to develop and implement environmentally appropriate compliance and risk management plans, manage to tight lines of accountability within team functions.A college and advanced degree is desired, with specialization in financial services or business administration. An understanding of financial aspects of the securities business is necessary.Experience must include compliance and team management.Must hold Series 7 and 24 licenses.Significant knowledge in FINRA and SEC rules, IA act, insurance laws.


JOB PURPOSE:
The SVP, Chief Compliance Officer and Risk Management is responsible for firm wide oversight of all compliance functions as well as creating and implementing strategies and procedures for risk management. This position is accountable for maintaining and developing successful compliance practices, including developing policies and procedures for all levels of regulatory compliance. This position is also accountable for creating processes for assessing, prioritizing, identifying, monitoring and avoiding potential business risk.

Essential Functions:
Serves as a member of AIC senior management group.

Responsible for oversight and strategic direction of compliance and risk management areas, including broker/dealer, investment advisory and Capital Markets functions

Responsible for ensuring AIC complies with AIC internal operating policies and procedures

Responsible for ensuring AIC maintains compliance with all legal, regulatory and contractual obligations

Accountable to UNIFI general counsel, AIC and UNIFI Boards for compliance and risk management results

Responsible for development of control practices to minimize and mitigate business risks

Responsible for oversight of product development and product distribution, including field supervisory functions

Works closely with senior management of UNIFI businesses to ensure policy adoption as required in areas including AML, privacy, and fixed insurance

Works with direct reports to develop implementation strategies of all plans

Accountable for successful completion of all regulatory exams and firm interactions

Develop risk management oversight for capital market activities, including public finance and fixed income trading.

Maintain successful relationships with regulators and other key industry partners.

Maintain and develop business practices to further organizational goals related to cyber security, customer protections, social networking and other internet related business functions

Coordinate with other compliance and risk management functions within UNIFI to leverage opportunities and develop consistent practices where appropriate.

Maintain and develop compliance and control functions for ALIC underwriting of function

Maintain and develop significant understanding of issues and opportunities for management of core functions in conjunction with clearing firms and other key business partner developments

Develop processes for vetting business expansion opportunities


Marginal Functions:
Other duties as assigned

Working Conditions:
Matrix management required

Multi-location team structure exists

Multi-level compliance structure exists within UNIFI

Travel required

To apply please go to our website www.Ameritas.com