DALLAS, TXPosted 25 days ago

Job summary

• Job post source

  This job is directly from M Financial Group

• Job overview

  The Compliance Officer, Branch Examiner at M Financial Group ensures regulatory compliance and conducts branch audits to support the firm's broker/dealer and investment advisory activities.

• Responsibilities and impact

  The role involves planning and conducting branch audits, reporting findings, collaborating on process improvements, assisting with regulatory audits, investigating issues, staying updated on laws, conducting due diligence, and training team members on compliance.

• Experience and skills

  Requires a bachelor's degree or equivalent experience, minimum two years branch exam experience, FINRA Series 7, 63, and 65 or 66 registrations, with preferred Life Insurance License and familiarity with FINRA, SEC, and state regulations.

• Work environment and culture

  M Financial Group promotes a progressive, dynamic, and collaborative professional community valuing diverse backgrounds and perspectives.

• Company information

  M Financial Group is a 40+ year-old industry leader known for combining expertise to provide innovative financial solutions and support to clients and communities.

• Job location and travel

  Position is based in Dallas, TX with flexibility for one remote day per week and requires 40-60% travel.

• Application process

  Applicants are directed to apply via https://www.mfin.com/careers.

• Unique job features

  The job features a mix of virtual and onsite branch audits, extensive regulatory interaction, and a role that supports compliance culture development within the firm.

Company overview

The National Society of Compliance Professionals (NSCP) is a leading nonprofit organization dedicated to supporting compliance professionals in the financial services industry through education, resources, and networking opportunities. NSCP generates revenue primarily from membership dues, conferences, training programs, and publications tailored to regulatory compliance topics. Founded in 1987, the organization has played a significant role in shaping industry standards and fostering dialogue between compliance professionals and regulators. NSCP is recognized for its independent, member-driven approach and its influential annual national conference. Candidates should be aware that NSCP emphasizes professional development, ethical standards, and staying current with evolving regulatory requirements.

How to land this job

• Position your resume to highlight your experience with branch examinations, compliance audits, and familiarity with FINRA and SEC regulations, emphasizing your ability to conduct virtual and onsite audits.

• Focus on showcasing skills in regulatory reporting, trend analysis, internal investigations, and compliance training development, as these are key aspects of the Compliance Officer role.

• Apply through multiple platforms including the National Society of Compliance Professionals' corporate career page and LinkedIn to maximize your application visibility.

• Connect on LinkedIn with current Compliance Officers or branch examiners at the National Society of Compliance Professionals or M Financial Group, using ice breakers like commenting on recent regulatory changes or asking about their approach to compliance culture development.

• Optimize your resume for ATS by incorporating keywords from the job description such as 'branch exams,' 'FINRA,' 'SEC regulations,' 'compliance training,' and 'internal investigations' to ensure it passes automated screenings.

• Use Jennie Johnson's Power Apply feature to automate tailored applications, identify multiple application channels, and find relevant LinkedIn contacts for networking, allowing you to focus your time on interview preparation and skill enhancement.