SVP Financial Advisory Services Compliance

State Employees' Credit Union • Raleigh, NC

5d • Hybrid

About The Position

The SVP – Financial Advisory Services Compliance is responsible for the overall compliance programs for SECU’s Financial Advisory Services. This includes serving as the Chief Compliance Officer for a Registered Investment Adviser, Broker-Dealer, and Life Insurance Company. The role will support the senior management of each line of business in their compliance responsibilities and regulatory obligations by providing effective advice and subject matter expertise.

Requirements

• Bachelor’s Degree
• FINRA Series 7, 24, 65 (or equivalents or ability to obtain)
• 7 years’ experience in compliance, regulatory, or risk management within financial services, including registered investment adviser and broker dealer.
• Demonstrated experience supporting or leading compliance programs for regulated entities within a multi-entity organizational structure.

Nice To Haves

• Advanced degree or professional certifications (J.D., CRCM, ACAMs)
• NC Insurance licenses, CFP, CAMS, CRCP
• 10+ years’ experience in compliance, regulatory, or risk management within financial services, that specifically includes affiliated registered investment adviser, broker dealer, and bank or credit union.

Responsibilities

• Serve as the Chief Compliance Officer for Credit Union Investment Services (CUIS) and SECU Brokerage Services (SBS), responsible for building out and maintaining their compliance programs. This includes advising business lines, developing policies and procedures, reviewing marketing materials, ensuring compliance testing effectiveness, and coordinating regulatory filings. Also responsible for the branch audit program and handling escalations. Serve as the AML Compliance Officer for CUIS and SBS and oversee their BSA/AML Program.
• Serve as the Chief Compliance Officer for SECU Life Insurance Company, responsible for building out and maintaining its compliance program. This includes advising the business line, developing policies and procedures, reviewing marketing materials, ensuring compliance testing effectiveness, and coordinating regulatory filings. Also responsible for handling escalations and serving as the AML Compliance Officer for SECU Life, overseeing its BSA/AML Program.
• Develop compliance programs for SECU’s Financial Advisory Services and Retail Delivery Network that are not part of a subsidiary company. This involves overseeing the development of processes for issue identification and escalation, implementing compliance controls for risk management, and providing guidance to business lines. Act as the primary liaison between Financial Advisory Services and SECU’s regulatory and risk areas.
• Coordinate regulatory examinations, inquiries, external and internal audits, and compliance reporting activities. Serve as the main operational contact for regulators and auditors, manage responses to regulatory requests and findings, oversee remediation tracking, and ensure timely and accurate regulatory reporting.
• Develop and build out the FAS Compliance Data Analytics program. Design and enhance Board reports, critical metrics, Key Risk Indicators, and data visualization for compliance insights. Oversee data analytics governance, including defining and documenting standard methods, programs, and rules to ensure data quality and accuracy for FAS CUSO reporting.
• Report on the overall compliance status of each subsidiary company to their respective Boards of Directors. Represent Financial Advisory Services on the SECU executive level Compliance Committee. Provide compliance training to Boards and keep them informed of regulatory risks.

Benefits

• Equal employment opportunity to all qualified persons regardless of race, color, religion, age, sex, sexual orientation, gender identity, national origin, genetic information, disability, veteran status, or other classification protected by law.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior