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
- 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
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.
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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 [email protected] or by calling 1-888-503-6013. 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.
Skills Required
- Bachelor's Degree in a related field or equivalent
- 2+ years experience in a compliance role within financial services
- Active industry registrations and licenses
- Working knowledge of banking and financial regulations
- Advanced verbal and written communication skills
- Effective skills in office software including spreadsheets
- Effective organizational and planning skills
- Effective analytical and problem-solving skills
- Effective interpersonal skills
Navy Federal Credit Union Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Navy Federal Credit Union and has not been reviewed or approved by Navy Federal Credit Union.
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Retirement Support — A pension alongside a strong 401(k) match and additional retirement programs makes long‑term value a standout element of the total package. This combination is positioned as a differentiator among private employers.
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Healthcare Strength — Comprehensive medical, dental, and vision coverage is complemented by on‑site health services at major campuses. Wellness resources and typical offerings like an EAP broaden the health support available.
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Parental & Family Support — Paid parental leave, plus adoption and surrogacy assistance, indicate meaningful support for growing families. Education assistance further extends family and life‑stage support.
Navy Federal Credit Union Insights
What We Do
Navy Federal Credit Union is the world's largest credit union with over 12 million members, over $160 billion in assets and over 22,000 employees. As a credit union, we have members, not customers. At our campuses in Vienna, VA, Pensacola, FL and Winchester, VA, and in our more than 350 branches, we serve the men and women of the Armed Forces, Department of Defense, veterans and their families. We deliver world-class service, rooted in the belief that it is an honor and privilege to serve our members. We are committed to providing our members outstanding financial products and services. Navy Federal offers a career, not just a job. We are proud of the robust Total Rewards package we offer to our employees, including competitive salaries, incentive programs, comprehensive medical, dental and vision benefits, retirement plans with employer match, award-winning training programs, professional development programs, tuition assistance, paid leave, and work/life programs. Federally insured by NCUA. Equal opportunity employer. Android™ is a trademark of Google, Inc. iPhone® is a registered trademark of Apple, Inc. iPad® is a registered trademark of Apple, Inc. App Store(SM) is a service mark of Apple, Inc. Message and data rates may apply. FORTUNE and 100 Best Companies to Work For are registered trademarks of Time Inc., and are used under license. FORTUNE and Time Inc., are not affiliated with, and do not endorse products or services of, Navy Federal Credit Union. For more info, visit navyfederal.org
