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To act as the general securities Supervising Principal for Navy Federal Investment Services (NFIS) registered sales personnel and NFIS online offerings. Ensure all NFIS field transactions and staff activities comply with applicable state, federal, legal, and regulatory requirements. Oversee securities and insurance activities by reviewing, approving, and monitoring new accounts, trades, and insurance processing, including related communications, reports, presentations, and compliance materials. Supervise compliance-related activities of NFIS registered representatives and online platforms. Provide compliance guidance for insurance activities through Navy Federal Financial Group, LLC, and to all registered employees. Conduct annual compliance testing for NFIS.
Responsibilities
Monitor and interpret new and existing regulations and legislation to ensure organizational compliance
Ensure compliance to all applicable regulatory requirements and internal NFFG policies
Recommend updates to policies and procedures to maintain compliance standards
Prepare required and ad hoc reports for regulatory bodies, including responses to audit inquiries
Serve as liaison for internal and external auditors regarding compliance processes, controls, and systems
Resolve compliance-related issues arising from transactional activities and serve as a site resource
Collaborate with Training Instructors to develop and maintain compliance training programs aligned with current policies
Review staff work to identify compliance gaps and recommend additional training as needed
Communicate regulatory and industry changes to field employees and relevant stakeholders
Evaluate the compliance impact of new or revised corporate initiatives and advise on associated risks
Monitor organizational and individual activities for compliance; identify and address non-compliance issues
Prepare regulatory filings, including responses to regulatory inquiries
Conduct internal reviews to test compliance procedures and initiate corrective actions
Analyze regulatory updates and reports to provide recommendations for process improvements to senior management
Perform other duties as assigned
Requirements
Bachelor’s Degree in a related field or equivalent combination of education, training, and experience
2+ years experience in a compliance role within the financial services industry, including managing and maintaining an effective compliance program
Active industry registrations and licenses, including FINRA Series 7, 24, and 53; NASAA Series 63 and 65 or 66; and Life & Health Insurance License
Working knowledge of banking and financial industry standards, practices, and regulatory requirements
Experience in member/customer service operations with an understanding of effective service philosophies
Advanced verbal and written communication skills, with the ability to present findings and recommendations clearly and concisely
Effective word processing, spreadsheet, database, and presentation software skills
Effective organizational, planning, and time management skills
Effective analytical, research, and problem-solving skills, with the ability to exercise initiative and sound judgment
Effective interpersonal skills, including conflict resolution, negotiation, and relationship building
Nice-to-haves
Advanced degree in Finance, Business, Legal, or related field
CRCP, IACCP, and/or CSCP certifications
Familiarity with Navy Federal objectives, functions, and policies
