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 our next Compliance and Regulatory Analyst to join our team.

As a Compliance and Regulatory Analyst you will provide analytical and investigative support within the Compliance and AML team of M Holdings Securities, Inc. (M Securities) to ensure compliance with FINRA and SEC regulations and to assist M Securities in fulfilling regulatory obligations with respect to its broker/dealer and investment advisory activities.

Responsibilities:

Compliance

• Effectively communicate regulatory requirements and policies and procedures both internally and to Member Firms
• Serve as initial reviewer and primary point of contact for all Non-Cash Compensation submissions
• Effectively communicate key details of the Non-Cash Compensation submissions to Compliance Manager for final review and approval
• Manage and Create procedures for the ADV 2B Update Process that ensure accuracy and timely completion while allowing for efficient cross-training of Team Members
• Act as key stakeholder for supporting U4 Update Submissions on the RegEd Platform
• Act as key stakeholder in the review of Pershing Exception Reports, providing coverage when team members are out
• Serve as primary responder to Member Firm inquiries received in Compliance and AML inboxes
• Coordinate with Reps and Member Firms in gathering necessary items to address and close out AML issues
• Assist with for AML Tier 1 Investigations, providing coverage when team members are out
• Responsible for Outside Brokerage Statement Processing
• Work with other team members to ensure data integrity and accuracy on the OBA and Rep Maintenance Compliance solutions
• Assist with development of automated processes and procedures to enhance broker/dealer and registered investment advisor efficiencies
• Act as a UAT tester when developing new and updating existing broker/dealer and registered investment advisor Compliance solutions
• Proactively identify inefficiencies across all solutions to identify opportunities for improvement, with the intent of increasing throughput while reducing turnaround times
• Communication and Training
• Work with management to develop communications that foster consistent compliance and regulatory culture
• Proactively communicate with team members regarding regulatory requirements and best practices
• Develop positive, solutions-oriented relationships with Member Firms

Miscellaneous

• Independently complete assigned tasks and projects according to their deadlines
• Suggest process improvements and assist with implementation of the same, related to the above tasks
• Perform other duties and assist with special projects, as assigned.

Qualifications and Competencies:

• Bachelor’s degree
• Minimum of 2 years of progressively responsible, related work experience
• Ability to obtain Securities Licenses SIE within 6 months, and Series 7 within 12 months
• Working knowledge of RegEd, LexisNexis, Salesforce, and data analytics.
• Proven ability to grasp new systems, software, and the ability to concisely explain its functionality
• 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
• 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
• Well-developed interpersonal skills and the ability to establish and maintain effective working relationships with internal staff and clients
• Well-developed computer skills, including the use of MS Office 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:

• Hybrid work environment offering a blend of virtual/work from home and onsite days designed to support flexibility
• Normal office environment/desk assignment
• Extensive use of PCs, computer terminal, display, keyboard, and mouse
• Extensive close work with documents, publications, databases, and spreadsheets
• Very limited travel

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.