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.
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Equal Employment Opportunity: All qualified applicants will receive consideration for employment without regard to age, race, sex, color, religion, national origin, disability, veteran status, pregnancy, sexual orientation, genetic information, gender identity or any other basis protected by applicable law.
Accommodations: If you need accommodation or assistance for a qualifying condition to complete the online application (or during any stage of the hiring process), you can contact Navy Federal''s Medical Accommodations team at medicalaccommodations@navyfederal.org or by calling 1-888-503-6013. This team cannot provide any information on job postings or application status.
Disclaimers: Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team's discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position. For additional details regarding compensation and benefits, review the Benefits page of the Navy Federal Career Site.
Protect Yourself from Job Scams: Navy Federal Credit Union jobs are posted on our career site, jobs.navyfederal.org and reputable job boards (e.g., LinkedIn, Indeed). We do not post jobs on social media marketplaces, messaging apps or unverified websites. We will never ask candidates for payment, bank details or personal financial information during the hiring process.
Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.
Desired Qualifications
Additional Information
Hours:
Locations:
820 Follin Lane, Vienna, VA 22180
9999 Willow Creek Road, San Diego, CA 92131
5550 Heritage Oaks Drive, Pensacola, FL 32526
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
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