First Command Financial Services, Inc. · 4 months ago
Compliance Operations Manager
Fort Worth, TX
Full-time
Hybrid
Senior Level
7+ years expFirst Command Financial Services, Inc. is seeking a Compliance Operations Manager to oversee regulatory compliance operations. This role is responsible for ensuring compliance with broker-dealer, investment advisory, and insurance regulations, as well as supporting the firm's compliance program and training initiatives.
BankingConsultingCrowdfundingFinancial Services
Responsibilities
Sustain an enterprise-wide approach to compliance with responsibilities for broker-dealer level compliance, registered investment advisory compliance, and insurance compliance
Support the administration of the firm’s compliance program with state insurance regulation
Serve as the compliance reviewer to ensure the effective coordination of policies and procedures with both field and home office communications
Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements
As an independent control function and part of the company’s second line of defense, monitor for compliance with new or amended laws, rules, and regulations
Support the Designated Marketing Principal with the management of marketing approval process by reviewing a variety of marketing material for alignment with applicable regulations, company rules, policies, procedures, and controls to mitigate risks
Develop and report on key business metrics to the Compliance Operations team
Provide proxy support to the Director of Compliance or Chief Compliance Officer to attend meetings when conflicts arise
Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing
Complete annual compliance report which identifies areas of strengths and weaknesses so that leaders can make effective decisions about resources and planning
Establish and maintain strong relationships with our business units to promote a culture of compliance and distinction between the three lines of business
Reviewing and disseminating monthly or quarterly disciplinary actions in the industry related to the firm’s business practices to leadership
Provide regulatory and compliance advice to the business and field force on an ongoing basis
Oversee timely and accurate regulatory filings (e.g., Form ADV, Form BD, Form CRS, and other FINRA Gateway filings)
Develop and maintain firm policies in the Compliance portal for employee and associated representative annual attestations
Assist in the development, delivering, and oversight of annual compliance training programs to associated persons. Such presentations may be electronic, in-person or a combination
Serve as point of contact for registered personnel disclosures and ongoing monitoring of activity of disclosed brokerage accounts and insider trading flags
Ensure that the Compliance Manual, WSP, and Compliance related policies and procedures and instructions are current and reflect the firm’s business practices. This includes preparing updates to written supervisory procedures for review, release, and publication
Partner with Compliance leadership in discussion of compliance issues by creating solutions and resolving gaps
Coordinate compliance regulatory inquiries and support the drafting of regulatory responses
Qualification
Required
Bachelor's degree required (would consider industry experience in lieu of education)
7++ years of legal, compliance or related experience in the financial services industry
Series SIE, Series 7, Series 24 required
Must be self-directed, organized, positive, driven, and effective in a fast-paced changing environment
Understanding of regulatory rules and regulations and the ability to apply to areas of the firm's business
Ability to seek interpretations and provide guidance on non-routine and often complex compliance matters
The ability to stay abreast on latest industry developments to be initiative-taking rather than reactive when issues arise
Excellent verbal and written communication skills
Preferred
Broker/Dealer, Investment Advisory, and Insurance experience preferred
Be an analytical person; make independent and collaborative decisions as appropriate
Company
First Command Financial Services, Inc.
First Command Financial Services, Inc. coaches our Nation’s military families in their pursuit of financial security.
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
Mark Steffe
President and Chief Executive Officer
Recent News
2025-11-22
24-7 Press Release Newswire
2025-05-08
Company data provided by crunchbase