Job Details
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, Athene Securities administration and project oversight of new state and federal regulations. Serves as an expert 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-d...Compliance Analyst, Compliance, Analyst, Broker, Support, Technology