Compliance Officer

M Financial was established with a new distribution network of entrepreneurial Member Firms. Working together with select carriers, we created better products for affluent clients and distributed them through this exclusive network of Member Firms.

In this role, you will be responsible for ensuring M Financial Group (M) Member Firms remain compliant with FINRA and SEC regulations. You will do this by conducting compliance training for M Team members and M Member Firms, conducting regulatory audits at Member Firm sites, reviewing retail communications, and investigating complex issues. Remaining current with federal and state laws and regulations with be critical to your success in this role. Other key parts of your role will be developing and implementing policies and procedures, including compliance programs, to minimize M’s exposure to risk. Relationship management and communication will also be a significant component of your role. This will include developing positive, solutions-oriented relationships with Member Firms through consulting, coaching and advising on compliance issues and best practices.

* Bachelor’s degree in Finance, Business Management or equivalent * Minimum of 5 years of progressively responsible, related work experience * Securities Licenses: Series 7, 24, 53, 63 and 65 or 66, or the ability to obtain within 6 months of employment * Life Insurance license or the ability to obtain within 6 months of employment * Strong aptitude for understanding complex and changing security laws and regulations * Familiarity and background with the Investment Advisors Act of 1940; Securities Act of 1933 and Investment Company Act of 1940; FINRA and SEC rules; and state regulations * Experience with reviewing legal documents * Demonstrated ability to solve complex problems, find resolution to those problems, and recommend corrections * Excellent oral and written communication skills; strong attention to detail and excellent organizational skills * Excellent presentation, training and education skills * Well-developed interpersonal skills and the ability to establish and maintain effective working relationships with Member Firms, Carriers, state and federal regulators and M Team members * Well-developed computer skills, including the use of MS Word, Excel, PowerPoint, Internet and database management programs * Proven ability to keep track of, prioritize, and report status of multiple projects * Ability to work effectively, both independently as well as a member of a team * Ability to travel up to 20% of the time