Job Description

Job Description

M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals’ expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years. M’s solutions are rooted in the diverse expertise of our team, our collaborative approach to innovation and our comprehensive support.

We embrace a progressive, dynamic mindset for every role. M Financial Group provides a professional community that actively supports individuals with diverse backgrounds and perspectives who come together to build and support best-in-class solutions.

The Compliance Officer supports the compliance program of our dually registered broker-dealer and investment adviser. This role is responsible for ensuring adherence to regulatory requirements and internal policies, supporting day-to-day compliance operations, assisting with regulatory audits, and internal reviews. The ideal candidate should have a solid intermediate background, typically demonstrated by at least five years of experience in compliance, regulatory frameworks, policies and procedures, or a closely related area within the financial services industry.

Responsibilities:

• Monitor and interpret FINRA, SEC, and state regulatory developments and assess their impact on the firm
• Conduct communications and trade surveillance reviews to ensure compliance with firm policies and regulatory requirements
• Provide compliance training and guidance to business units and registered representatives
• Assist with updating firm policies and procedures manuals
• Assist with the review of marketing materials
• Plan, schedule, and conduct virtual and onsite audits of branch offices to ensure adherence to established policies and procedures
• Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators
• Collaborate with legal, operations, and supervisory teams to address compliance issues and implement correction actions
• Provide cross-functional support to different teams within the department based on shifting priorities and business needs

Qualifications:

• 5 years of progressively responsible, related work experience (experience with compliance, regulatory frameworks, policies and procedures, or a closely related area within the financial services industry
• 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
• Securities Licenses: Series 7, 63, 24
• Excellent written and verbal communication skills
• Ability to work independently and within a team environment
• Ability to organize and manage large amounts of diverse information and documentation
• Proficiency with MS Office, Word, Excel, PowerPoint, with aptitude for learning new technologies

Job Conditions & Environment:

• This position is based on-site at our offices in Uptown at the Quad in Dallas, TX with the flexibility to work on day per week remotely
• Normal office environment/desk assignment
• Travel up to 15% of the time
• Extensive use of PC's , computer terminal, display, keyboard, and mouse
• Extensive hands-on work with documents, spreadsheets, and other written documents

This position description is not intended to be and should not be construed as an all-inclusive list of responsibilities, skills, or working conditions associated with this position. While this description is intended to accurately reflect the position's activities and requirements, management reserves the right to modify, add or remove duties as necessary.

M Financial is proud to be an equal opportunity workplace.

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