Qureos Mentor

First Command Financial Services

<div>How will this role impact First Command?

Under the general supervision of Compliance leadership, the Compliance Operations Manager is a principal licensed role and is responsible for the execution and oversight of regulatory compliance operation functions. 

What will the employee do in this role?
<ul>
<li>Sustain an enterprise-wide approach to compliance with responsibilities for broker-dealer level compliance, registered investment advisory compliance, and insurance compliance.</li>
<li>Support the administration of the firm&rsquo;s compliance program with state insurance regulation.</li>
<li>Serve as the compliance reviewer to ensure the effective coordination of policies and procedures with both field and home office communications.</li>
<li>Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements.
</li><li>As an independent control function and part of the company&rsquo;s second line of defense, monitor for compliance with new or amended laws, rules, and regulations.</li>
<li>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.</li>
<li>Develop and report on key business metrics to the Compliance Operations team.
</li><li>Provide proxy support to the Director of Compliance or Chief Compliance Officer to attend meetings when conflicts arise.</li>
<li>Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing.</li>
<li>Complete annual compliance report which identifies areas of strengths and weaknesses so that leaders can make effective decisions about resources and planning.
</li><li>Establish and maintain strong relationships with our business units to promote a culture of compliance and distinction between the three lines of business.
</li><li>Reviewing and disseminating monthly or quarterly disciplinary actions in the industry related to the firm&rsquo;s business practices to leadership.
</li><li>Provide regulatory and compliance advice to the business and field force on an ongoing basis.
</li><li>Oversee timely and accurate regulatory filings (e.g., Form ADV, Form BD, Form CRS, and other FINRA Gateway filings)</li>
<li>Develop and maintain firm policies in the Compliance portal for employee and associated representative annual attestations.
</li><li>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;</li>
<li>Serve as point of contact for registered personnel disclosures and ongoing monitoring of activity of disclosed brokerage accounts and insider trading flags.</li>
<li>Ensure that the Compliance Manual, WSP, and Compliance related policies and procedures and instructions are current and reflect the firm&rsquo;s business practices. This includes preparing updates to written supervisory procedures for review, release, and publication.</li>
<li>Partner with Compliance leadership in discussion of compliance issues by creating solutions and resolving gaps.
</li><li>Coordinate compliance regulatory inquiries and support the drafting of regulatory responses</li>
</ul>
Who will you lead?
<ul>
<li>Direct supervisory authority over the Compliance Officers-Compliance Operations</li>
</ul>
What skills &amp; qualifications do you need?

Education
<ul>
<li>Bachelor&rsquo;s degree required (would consider industry experience in lieu of education)</li>
</ul>
Work Experience
<ul>
<li>7++ years of legal, compliance or related experience in the financial services industry</li>
<li>Broker/Dealer, Investment Advisory, and Insurance experience preferred.
</li><li>Be an analytical person; make independent and collaborative decisions as appropriate.</li>
<li>Excellent verbal and written communication skills</li></ul> 
<div></div>

Certifications
<ul><li>Series SIE, Series 7, Series 24 required.</li>
</ul>
Required Knowledge, Skills, and Abilities
<ul>
<li>Must be self-directed, organized, positive, driven, and effective in a fast-paced changing environment.</li>
<li>Understanding of regulatory rules and regulations and the ability to apply to areas of the firm&rsquo;s business</li>
<li>Ability to seek interpretations and provide guidance on non-routine and often complex compliance matters.
</li><li>The ability to stay abreast on latest industry developments to be initiative-taking rather than reactive when issues arise.</li> 
</ul>
<div></div><div>#LI-NC1 #LI-HYBRID</div></div>

Compliance Operations Manager

<div>How will this role impact First Command?

As the Bank President and CEO, the objective is to maintain strong safety and soundness ratings coupled with steady growth and performance in all areas of the bank to include lending, payments, deposit, compliance, operations, and wealth management. In addition to leading the bank, the FCB President is a member of the FCFS Executive Leadership Team (ELT). As a member of ELT, the successful candidate will contribute to the development and execution of enterprise-level strategic themes and objectives while advocating for the Bank as a key cornerstone of the enterprise value proposition.
The Bank President and CEO will also be a member of the Bank&rsquo;s Board of Directors. The position builds solid relationships with both the FCB and the FCFS Board of Directors. The position requires participation and presentation of business updates at the FCB and FCFS Board of Director&rsquo;s meeting and other committees as assigned. Additional duties include Chairperson of the Director&rsquo;s Loan Committee (DLC), Asset Liability Committee (ALCO), and Compliance Committee. 


Reporting Relationship
The Bank President and CEO reports to the President and CEO of FCFS. He or she will lead and coach a client-focused team of highly qualified banking professionals to achieve annual business plan objectives and value-added performance targets in accordance with the regulations, policies, and guidance of the ELT and the FCB Board of Directors. Incumbent must be a mature, professional individual able to address problems and recommend solutions to resolve business, client and/or personnel issues. 


What will you do in this role?
<ul>
<li>Develop and implement a comprehensive Bank Strategy in support of the company&rsquo;s Big Audacious Goal of being THE personal financial coach of our nation&rsquo;s military families. Provides the vision, direction, and guidance to stakeholders and enterprise leadership to evolve and grow the bank.</li>
<li>Build the vision to scale the bank leveraging Digital and FinTech solutions to exponentially grow the bank delivering a seamless client experience in a sustainable and compliant environment. The scalable platform will be critical to the bank&rsquo;s transformation to a direct-to-consumer model.</li>
<li>As a member of ELT, actively contribute and influence enterprise strategy delivering value to clients while enhancing our Brand and elevating our reputation.</li>
<li>Coach, develop, and inspire direct reports and key internal partners to meet team performance goals and objectives. This includes establishing robust development plans and succession planning.</li>
<li>Create strong relationships with the First Command Advisors built on trust and integrity to promote and advocate banking services for our clients.</li>
<li>Earn the respect and trust of federal regulators through proactive and transparent communication for the safety and soundness of the bank.</li>
<li>Establish a culture of inclusion and an environment of psychological safety to promote inclusion, engagement, and innovation to achieve superior business results and greater diversity of our workforce.</li>
<li>Proactively anticipate capital and liquidity needs in up and down markets staying ahead of changing economic conditions to successfully guide the bank in all environments.</li></ul> 


Travel
<ul><li>This role will require periodic travel to visit field offices throughout United States.</li></ul> 


What skills &amp; qualifications do you need? 


Education
<ul>
<li>A bachelor&rsquo;s degree in finance or economics is required. A master&rsquo;s degree or graduate school in banking is preferred. Strong credit training is essential.</li> 
</ul>
Work Experience
<ul>
<li>15 to 20 years in commercial or consumer banking with extensive background in financial institution management.
</li><li>Minimum of 10 years or more in a senior management or C-suite level position.
</li><li>Accustomed to participating with and presenting business updates at the Board level. Prior Committee leadership experience including Loan Committee, Asset Liability Committee (ALCO), and Compliance Committee.
</li><li>Significant background in credit administration with lending authority.
</li><li>Extensive commercial and consumer lending background to include underwriting, credit analysis, collections, and loan operations to act on virtually all credit quality issues.
</li><li>Working experience with federal regulators, mainly the Office of the Currency of the Comptroller (OCC).
</li><li>Ability to comply with internal policies and discernment with respect to exceptions to maximize performance and customer service levels.
</li><li>Experience working with Internal Audit staff to insure solid financial controls are in place.
</li><li>Able to contribute at both the Bank strategy level and the Enterprise Strategy level.
</li><li>Military experience and background preferred.</li> 
</ul>
Required Knowledge, Skills and Abilities
<ul>
<li>Passionate, visionary, engaging, and principled. A strong work ethic and a low ego.
</li><li>Forward looking, growth-focused, and energized by collaboration with like-minded colleagues who are aligned with the mission and ready to scale the business.
</li><li>Thinks strategically and challenges the status quo, using his or her unique external vantage point to see what may not be apparent to others in the business.
</li><li>Has impeccable communication and presentation skills.
</li><li>Offers superior strategic planning and organizational skills with a hands-on execution style.
</li><li>Able to work independently with little or no supervision.
</li><li>Builds productive and positive relationships across the enterprise. Handles difficult customer or field issues in a professional manner.
 </li></ul>#LI-NC1</div>

Executive Vice President, Bank President and CEO

Join First Command Financial Services and explore 2   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

First Command Financial Services

ABOUT_COMPANY

Compliance Operations Manager

Executive Vice President, Bank President and CEO