Lead Investment Operations Analyst - Financial Transactions

Job Description

This is a hybrid role working partially in-office and partially from home.

At Ameritas, our mission is Fulfilling Life. We do that in many ways, but especially by helping people invest in themselves by offering trusted financial products and advice. Because we believe everyone should be happy, healthy and financially secure, we work hard to provide trusted financial products and valued guidance, including individual life and disability insurance, employee benefits, retirement planning, investments, and wealth management services.

AIC (Ameritas Investment Company LLC) a FINRA registered Broker Dealer and AAS, (Ameritas Advisory Services LLC) a federally registered investment advisor firm.

The Lead Investment Operations Analyst - Financial Transactions will lead daily activities including transaction processing and performance reporting for assigned accounts. The incumbent will develop, implement, and process reports for internal and external clients while ensuring regulation and requirement deadlines are met. This position will also assist in training other analysts and serve as a lead for projects.

What you do

• Review and perform approvals for NFS Financial Transactions initiated by Financial Professionals and internal associates in the Integrated Cashiering Platform on Wealthscape.
• Perform deposit approvals, attestations, and Medallion Signature Guarantees
• Process Multi-Margin and Collateral Account requests in tandem with Cashiering Principal(s)
• Assist with AML review of customer transactions (transfers, withdrawals, deposits, etc.).
• Be a role model and supportive resource to team members, provide training encouragement.
• Provide back up support to team as needed to initiate incoming and outgoing transfers on client accounts held with National Financial Services (NFS); Deposit of Stock Certificates and Warrants; process Financial Transactions (checks, wires, EFTs, journals) in client accounts.
• Ensure timely monitoring and response to all service messages received by NFS is completed, including review of monthly NFS NIGO report for potential opportunities or enhancements.
• Mitigate risk by running and reviewing the Potential Suspicious Activity and Heightened Scrutiny reports as well as confirming signature verifications practices are adhered to by team.
• Be able to review the Daily Cashiering Reports as back up.
• Handle escalated cases, collaborating with Manager for guidance as needed and assist leadership by taking ownership of projects including Audit and Exam research or responses.
• Attend relevant meetings as delegated by Manager and promote department efficiencies and improvements.
• Other duties as assigned

What you bring

• Bachelor's Degree or equivalent experience required
• 3-5 years related experience required
• Previous experience in Registered Investment Advisor or Broker Dealer operations including money movement, and Securities and Exchange Commission regulations
• Series 7 Series 24 License required
• Previous experience in AML review preferred
• Experience with Wealthscape and Docupace preferred
• Intermediate level of experience with Microsoft programs
• Strong attention to detail and accuracy is required for this role
• Strong service mentality and a dedicated sense of team unity.

What We Offer

• Our company motto is "Fulfilling Life" and we take that job seriously, with a heavy commitment to volunteering and community support, employee well-being, and providing quality products and services that help our customers create a brighter future.
• Being a mutual-based organization, the return on our investment goes back into the company, to benefit our members/customers.
• We're committed to professional development, opportunity, inclusion and diversity. Team building and collaboration are also priorities.
• A total rewards package with all the comprehensive health and welfare benefits you'd expect, including competitive pay and incentives, 401(k), flexible work schedules and time off to care for yourself and others.
• Additional popular benefits, including tuition reimbursement, and student loan repayment, an incentivized well-being program, adoption assistance, paid time off for volunteering, training and career development opportunities.

An Equal Opportunity Employer

Ameritas has a reputation as a company that cares, and because everyone should feel safe bringing their authentic, whole self to work, we're committed to an inclusive culture and diverse workplace, enriched by our individual differences. We are an Equal Opportunity/Affirmative Action Employer that hires based on qualifications, positive attitude and exemplary work ethic, regardless of sex, race, color, national origin, religion, age, disability, veteran status, genetic information, marital status, sexual orientation, gender identity or any other characteristic protected by law.

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