M Financial Group - Dallas, TX
posted 2 days ago
Full-time - Mid Level
Dallas, TX
Insurance Carriers and Related Activities
About the position
This position is a Compliance Officer of M Holdings Securities, Inc. (M Securities), a FINRA registered broker-dealer and SEC registered RIA. This position seeks to ensure compliance with FINRA and SEC regulations while supporting M Securities in meeting its regulatory responsibilities related to broker-dealer and investment advisory operations.
Responsibilities
- Maintain a working knowledge of securities, insurance, and advisory products offered by M Securities and support the firms efforts to meet federal and state laws, regulatory requirements, and policies and procedures.
- Conduct due diligence, as needed, on business issues that impact the overall compliance program of M Securities.
- Complete documentation for communications with the public compliance recordkeeping system.
- Strive for consistency of compliance reviews on an ongoing basis to ensure all reviews are performed consistently across the organization.
- Develop positive, solutions-oriented relationships with Member Firms.
- Act in a consultative role to Member Firms, coaching and advising on compliance issues and best practices.
- Effectively communicate policies and procedures internally and to Member Firms.
- Stay current on regulatory changes, compliance tools, and emerging risks in the financial industry.
- Review and approve advertising and marketing communications from advisors and internal Marketing department, including websites, newsletters, social media, and sales literature ensuring all materials comply with state and federal laws, rules and regulations, and M Securities standards.
- Analyze communications and information and make accurate, independent compliance decisions.
- Assist with applicable projects in communications with the public compliance review process, including training where necessary.
- Assist with development of automated processes and procedures to enhance broker/dealer efficiencies.
Requirements
- Bachelor's degree in Business Law, Accounting, or related industry preferred or suitable combination of education and experience.
- FINRA Securities Registrations - Series 7 & 24 required.
- FINRA Securities Registrations - Series 63, 65 & 66 preferred.
- Minimum three years of progressively responsible, related work experience.
- 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, investment advisers and insurance companies.
- Proficiency with MS Office, Word, Excel, PowerPoint, with aptitude for learning new technologies.
- Strong attention to detail and ability to identify discrepancies or potential compliance risks in documentation, reports, and processes.
- Excellent written and oral communication skills.
- Strong personal integrity to uphold ethical standards and foster a culture of compliance.
- Ability to work independently and collaborate within a team environment.
- Ability to assess complex regulations, interpret data, and make well-reasoned compliance decisions.
- Ability to organize and manage large amounts of diverse information and documentation.
Benefits
- 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
- FSA (Health and Dependent Care)
- HSA (for qualified medical plan)
- Long-Term Care Insurance
- 401(k) Match
- Tuition Assistance
