Compliance Supervisor - Navy Federal Financial Group (Dallas)
To act as the general securities Supervising Principal for Navy Federal Investment Services (NFIS) registered sales personnel and NFIS online offerings. To ensure all NFIS field transactions and staff activities comply with state, federal, legal and regulatory agency requirements. Oversee securities and insurance activities by reviewing, approving and monitoring new accounts, trades, and insurance processing activities; includes review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by registered representatives at NFIS, LLC member FINRA/SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online offerings. Provide effective compliance guidance for insurance activities through Navy Federal Financial Group, LLC, an insurance agency. Provide effective compliance guidance to all registered employees. Conduct annual testing for NFIS.
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As a member-owned and not-for-profit credit union, Navy Federal’s mission is to always put members first. Each area of the credit union operates with the same purpose in mind: making members’ financial goals the top priority. Navy Federal is honor...
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