Compliance Officer, Branch Examiner

2 months ago

Dallas, United States M Financial Group Full time

M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals' expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years.M's solutions are rooted in the diverse expertise of our team, our collaborative approach to innovation and our comprehensive support.

We embrace a progressive, dynamic mindset for every role.M Financial Group provides a professional community that actively supports individuals with diverse backgrounds and perspectives who come together to build and support best-in-class solutions. If you're looking to be a part of a high performing, collaborative, and dedicated team, M Financial Group is in search of our next Compliance Officer, Branch Examiner to join our team.

In this position you will be a Compliance Officer and Branch Examiner of M Holdings Securities, Inc. (M Securities) to ensure compliance with FINRA and SEC regulations and to assist M Securities in fulfilling regulatory obligations with respect to its broker/dealer and investment advisory activities. You will be responsible for administering independent execution of examinations in Member Firm branch locations, as well as other various compliance functions, such as public communications, onboarding, and outside business activities.

KEY RESPONSIBILITIES

Branch Exams

  • Plan and conduct audits and tests of broker/dealer branches to ensure adherence to established policies and procedures.
  • Generate timely reports documenting findings and suggesting corrective actions for branch offices.
  • Track and analyze findings, identify trends, and recommend proactive policy changes.
  • Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators.
  • Investigate complex issues, including internal investigations and customer complaints.
  • Stay abreast of federal and state laws and regulations.
  • Conduct due diligence, as needed, on business issues that impact the overall compliance program.
  • Train field and internal team members on compliance procedures.
  • Cultivate positive, solutions-oriented relationships to efficiently service the field.
Other Compliance Responsibilities
  • Collaborate with management to develop communications that foster a compliance culture.
  • Contribute to the development and implementation of compliance training and continuing education based upon exam findings.
  • Assist with the development and improvement of processes and procedures to enhance broker/dealer efficiencies.
  • Effectively communicate policies and procedures internally and to the field
  • Perform other duties as assigned.
QUALIFICATIONS
  • Bachelor's degree or equivalent business experience.
  • Minimum of 2-5 years of progressively responsible, related work experience
  • Securities Licenses: Series 7. Series 24 also required, or the ability to obtain within 3 months of employment.
  • Series 63 and 65 or 66 preferred, or the ability to obtain for professional development.
  • Life Insurance License preferred or willingness to obtain for professional development.
  • Familiarity, and preferred background, with FINRA and SEC rules; and state regulations.
  • Strong aptitude for understanding complex and changing security laws and regulations.
  • Excellent research and problem-solving skills, with keen attention to detail.
  • Outstanding written and oral communication skills
  • Effective time management, organization, and prioritization skills.
  • Well-developed interpersonal skills and the ability to establish and maintain effective working relationships with multiple business partners.
  • Proficient computer skills, including MS Office, Internet and database management programs.
JOB CONDITIONS AND ENVIRONMENT
  • Normal office environment/desk assignment
  • Extensive use of PC's, computer terminal, display, keyboard, and mouse
  • Extensive hands-on work with documents, spreadsheets, and other written documents
  • Travel required (40 - 60%)
COMPENSATION AND BENEFITS

Salary will be commensurate with relevant experience, knowledge, and skills.
You will also be eligible for an annual incentive plan bonus.

M Financial offers a comprehensive benefits package, including:
  • Medical/Vision Insurance
  • Dental Insurance
  • Short-Term and Long-Term Disability Insurance
  • Life Insurance
  • Modern Health (Mental Health Therapy and Coaching)
  • Empathy (Bereavement Support)
  • Employee Assistance Program
  • Life Insurance
  • FSA (Health and Dependent Care)
  • HSA (for qualified medical plan)
  • Long-Term Care Insurance
  • 401(k) Match
  • Tuition Assistance


This position description is not intended to be and should not be construed as an all-inclusive list of responsibilities, skills or working conditions associated with this position. While this description is intended to accurately reflect the position's activities and requirements, management reserves the right to modify, add or remove duties as necessary.

M Financial is proud to be an equal opportunity workplace.

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