Investment Services Compliance Specialist

Overview

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

Qualifications

• 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

Desired Qualifications

• Advanced degree in Finance, Business, Legal, or related field
• CRCP, IACCP, and/or CSCP certifications
• Familiarity with Navy Federal objectives, functions, and policies

Additional Information

Hours:

• Monday - Friday, 8:00 AM - 4:30 PM (Hybrid)

Locations:

• 820 Follin Lane, Vienna, VA 22180
• 9999 Willow Creek Road, San Diego, CA 92131
• 5550 Heritage Oaks Drive, Pensacola, FL 32526
  

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