Sr. Investment Advisory Compliance Officer (Portland, Or Hybrid Or Dallas, Tx Onsite)

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. If you’re looking to be a part of a high performing, collaborative, and dedicated team, M Financial Group is in search of a Sr. Investment Advisory Compliance Officer to join our team.

The Sr. Investment Advisory Compliance Officer of M Holdings Securities, Inc. (M Securities) and M Financial Asset Management, Inc. (M Wealth) acts to ensure compliance with securities regulations and to assist in fulfilling regulatory obligations with respect to its broker/dealer and investment advisory activities. Serve as senior member to Compliance Team responsible for Investment Advisory Compliance and various compliance functions.

Responsibilities

SeniorCompliance Officer

• Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators
• Investigate complex issues, including internal investigations and customer complaints, as needed
• Provide direction to staff and work with legal counsel in dealing with regulators, regulatory issues, or compliance programs
• Draft and revise policies and procedures
• Stay current with federal and state laws and regulations, assisting and monitoring staff with updating the Investment Advisory Compliance Program policies and procedures for M Securities and M Wealth
• Conduct Member Firm review due diligence or investigations, as needed, on business issues that impact the overall advisory compliance programs of Wealth Solutions
• Act as a subject matter expert on more complex compliance items, including solicitor agreements, regulatory filings (ADVs, Form CRS, etc.), trade reviews, and Member Firm escalations
• Conduct investment advisory assessments for Member Firms to ensure that they are meeting regulatory requirements
• Provide compliance expertise on strategic initiatives and help foster Member Firm interest and adoption to reduce overall compliance workloads by Member Firm adoption of these standardized solutions.
• Provide support on internal audits and risk assessments, as needed.

Compliance Systems and Programs Oversight

• Oversee aspects of investment advisory compliance training for M team members and Member Firm staff, including continuing education training sessions, and ongoing education sessions
• Act as a consultant to Member Firms, coaching and advising on compliance issues and best practices
• Act as SME to review retail communications for compliance issues and recommend changes to support compliance with regulations
• Provide support to resolving investment advisory-related trade errors, as needed
• Develop and implement investment advisory compliance program policies and procedures, to minimize M Securities’ and M Wealth’s exposure to risk
• Develop and implement automated processes and procedures to enhance broker/dealer and RIA efficiencies
• Act as the product and process owner for various compliance components, such the Compliance Solutions Dashboard, independent RIA program, solicitor and joint work agreements

Relationship Oversight and Communication

• Oversee compliance processes and programs to develop positive, solutions-oriented relationships with the field to provide value-added and efficient service

Communication and Training

• Work with management to develop communications that foster appropriate compliance culture
• Work collaboratively with other Compliance, Risk Management, and Supervision team members to drive effective engagement with Member Firms
• Train Wealth Solutions team members and Member Firm staff on compliance procedures and act as a liaison with other Wealth Solutions teams to research and implement new policies and procedures

Miscellaneous

• Perform other duties, as assigned

Qualifications 

• Bachelor’s degree in Finance, Business Management or equivalent
• Minimum of 5 years of progressively responsible, related work experience
• Securities Licenses: Series 7, 24, 63 and 65 or 66 
• Strong aptitude for understanding complex and changing security laws and regulations
• Familiarity, and preferred 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, 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

Job Conditions and Environment

• In Portland, Hybrid work environment offering a blend of virtual/work from home and onsite days designed to support flexibility. In Dallas, will be temporarily remote, moving to fully onsite with new building location coming soon.
• Extensive use of PCs, computer terminal, display, keyboard, and mouse
• Extensive close work with documents, publications, databases, and spreadsheets
• Light travel (10% - 15%)

Compensation and Benefits

Portland, OR Base Salary Range: $68,300 - $97,650
Dallas, TX Base Salary Range: $61,500 - $87,900
Salary will be commensurate with relevant experience, knowledge, and skills.
You will also be eligible for an annual incentive plan bonus.

M Financial offers a comprehensive benefits package, including: 

• 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
• Life Insurance
• FSA (Health and Dependent Care)
• HSA (for qualified medical plan)
• Long-Term Care Insurance
• 401(k) Match
• Tuition Assistance

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.