Investment Services Compliance Specialist

Overview

To act as the general securities Supervising Principal for Navy Federal Investment Services (NFIS) registered sales personnel and NFIS online offerings. Ensure all NFIS field transactions and staff activities comply with applicable state, federal, legal, and regulatory requirements. Oversee securities and insurance activities by reviewing, approving, and monitoring new accounts, trades, and insurance processing, including related communications, reports, presentations, and compliance materials. Supervise compliance-related activities of NFIS registered representatives and online platforms. Provide compliance guidance for insurance activities through Navy Federal Financial Group, LLC, and to all registered employees. Conduct annual compliance testing for NFIS.

Responsibilities

• Monitor and interpret new and existing regulations and legislation to ensure organizational compliance
• Ensure compliance to all applicable regulatory requirements and internal NFFG policies
• Recommend updates to policies and procedures to maintain compliance standards
• Prepare required and ad hoc reports for regulatory bodies, including responses to audit inquiries
• Serve as liaison for internal and external auditors regarding compliance processes, controls, and systems
• Resolve compliance-related issues arising from transactional activities and serve as a site resource
• Collaborate with Training Instructors to develop and maintain compliance training programs aligned with current policies
• Review staff work to identify compliance gaps and recommend additional training as needed
• Communicate regulatory and industry changes to field employees and relevant stakeholders
• Evaluate the compliance impact of new or revised corporate initiatives and advise on associated risks
• Monitor organizational and individual activities for compliance; identify and address non-compliance issues
• Prepare regulatory filings, including responses to regulatory inquiries
• Conduct internal reviews to test compliance procedures and initiate corrective actions
• Analyze regulatory updates and reports to provide recommendations for process improvements to senior management
• Perform other duties as assigned

Qualifications

• Bachelor's Degree in a related field or equivalent combination of education, training, and experience
• 2+ years experience in a compliance role within the financial services industry, including managing and maintaining an effective compliance program
• Active industry registrations and licenses, including FINRA Series 7, 24, and 53; NASAA Series 63 and 65 or 66; and Life & Health Insurance License
• Working knowledge of banking and financial industry standards, practices, and regulatory requirements
• Experience in member/customer service operations with an understanding of effective service philosophies
• Advanced verbal and written communication skills, with the ability to present findings and recommendations clearly and concisely
• Effective word processing, spreadsheet, database, and presentation software skills
• Effective organizational, planning, and time management skills
• Effective analytical, research, and problem-solving skills, with the ability to exercise initiative and sound judgment
• Effective interpersonal skills, including conflict resolution, negotiation, and relationship building

Desired Qualifications

• Advanced degree in Finance, Business, Legal, or related field
• CRCP, IACCP, and/or CSCP certifications
• Familiarity with Navy Federal objectives, functions, and policies

Additional Information

Hours:

• Monday - Friday, 8:00 AM - 4:30 PM (Hybrid)

Locations:

• 820 Follin Lane, Vienna, VA 22180
• 9999 Willow Creek Road, San Diego, CA 92131
• 5550 Heritage Oaks Drive, Pensacola, FL 32526
  
  

About Us

Navy Federal provides much more than a job. We provide a meaningful career experience, including a culture that is energized, engaged and committed; and fierce appreciation for our teams, who are rewarded with highly competitive pay and generous benefits and perks. Our approach to careers is simple yet powerful: Make our mission your passion. * FORTUNE 100 Best Companies to Work For 2026 * Yello and WayUp Top 100 Internship Programs 2025 * Computerworld Best Places to Work in IT 2026 * Most Loved Workplace - America's Top Most Loved Workplaces 2025 * 2025 PEOPLE Companies That Care * Newsweek Most Trustworthy Companies in America 2026 * Military Times 2025 Best for Vets Employers * Forbes 2026 America's Best Large Employers * Forbes 2025 America's Best Employers for New Grads * Forbes 2025 America's Best Employers for Tech Workers * 2025 RippleMatch Campus Forward Award Winner for Overall Excellence * Military.com Top Military Spouse Employers 2025 * 2026 Handshake Early Talent Award * Newsweek America's Greatest Workplaces for Culture, Belonging and Community 2026 From Fortune Magazine. 2026 Fortune Media IP Limited. All rights reserved. Used under license. Fortune and Fortune 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. Fortune Magazine, Fortune Media (USA) Corporation, and its affiliates are not affiliated with, and do not endorse products or services of, Navy Federal Credit Union. Equal Employment Opportunity: All qualified applicants will receive consideration for employment without regard to age, race, sex, color, religion, national origin, disability, veteran status, pregnancy, sexual orientation, genetic information, gender identity or any other basis protected by applicable law. Accommodations: If you need accommodation or assistance for a qualifying condition to complete the online application (or during any stage of the hiring process), you can contact Navy Federal's Medical Accommodations team at View email address on click.appcast.io or by calling View phone number on click.appcast.io. This team cannot provide any information on job postings or application status. Disclaimers: Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team's discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position. For additional details regarding compensation and benefits, review the Benefits page of the Navy Federal Career Site. Protect Yourself from Job Scams: Navy Federal Credit Union jobs are posted on our career site, jobs.navyfederal.org and reputable job boards (e.g., LinkedIn, Indeed). We do not post jobs on social media marketplaces, messaging apps or unverified websites. We will never ask candidates for payment, bank details or personal financial information during the hiring process. Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.