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Compliance Officer Sr. RIA

2 weeks ago

Dallas, Texas, United States M Financial Group Full time $90,000 - $120,000 per year

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.

This position is a Compliance Officer Sr of M Holdings Securities, Inc. (M Securities), a FINRA registered broker-dealer and SEC registered investment advisor and M Financial Asset Management, Inc. (MFAM), a SEC registered investment advisor. This position seeks to ensure compliance with SEC regulations while supporting M Securities and MFAM in meeting their regulatory responsibilities focused on advisory operations subject to the requirements set forth by the Investment Adviser Act of 1940 and the Investment Company Act of 1940.

Responsibilities:

  • Assist the Director of IA Compliance in the development, implementation, and maintenance of the M
  • Securities and MFAM compliance programs
  • Assist in performing annual review; support periodic mock regulatory exams; aid in responding
  • to regulatory inquiries and examinations from the SEC and other regulatory bodies
  • Develop, implement, and maintain current compliance policies, procedures, and processes to ensure
  • compliance with applicable rules and regulations
  • Assist with the preparation, submission, and maintenance of regulatory filings including Form ADV, Form
  • CRS, 13D, 13F, 13H filings and other regulatory filings as required for multiple investment advisers
  • Become a proficient user of the firm's compliance management systems and technologies
  • Effectively communicate regulatory requirements and policies and procedures both internally and to
  • Member Firms
  • Work with other compliance team members to support adherence with the Code of Ethics
  • Proactively identify inefficiencies across all aspects of the firm's compliance program and develop
  • solutions for improvement, with the intent of increasing efficiencies and the effectiveness of the
  • advisory compliance program
  • Address compliance issues that arise from the daily operations of the advisory business
  • Assist with special assignments and perform other compliance department related duties

Qualifications:

  • Bachelor's degree in business law, accounting, or related industry preferred; or suitable combination of
  • education and experience
  • Minimum 5 years of financial industry experience in risk and compliance preferably with a SEC registered investment adviser
  • Strong knowledge of rules, laws and regulations relevant to securities compliance and
  • communications, including FINRA, SEC and state laws, rules, and regulations for broker dealers and extensive knowledge in investment advisory space
  • Series 65 or 66 required
  • Series 7 and 24 required within 12 months of hire

Job Conditions & Environment:

  • This position is based on-site at our offices in Uptown at the Quad in Dallas, TX with the flexibility to
  • work one day remotely
  • Normal office environment/desk assignment
  • Travel up to 10% of the time
  • Extensive use of PC's, computer terminal, display, keyboard, and mouse
  • Extensive hands-on work with documents, spreadsheets, and other written documents

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.