Investment Services Compliance Specialist
About The Position
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.
Requirements
- General securities Supervising Principal for NFIS registered sales personnel and NFIS online offerings.
- Ensure compliance with applicable state, federal, legal, and regulatory requirements for NFIS field transactions and staff activities.
- Review, approve, and monitor new accounts, trades, and insurance processing.
- Review 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
- 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.
Benefits
- Highly competitive pay
- Generous benefits and perks
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
