Overview

Department: M Holdings Securities
Reports to: Vice President, Regulatory & Governance Affairs
FLSA Status: Exempt

Summary:

The Chief Risk & Compliance Officer is responsible for developing, implementing and administering all the compliance and risk management programs of M Holdings Securities, Inc. (“M Securities”) and M Financial Securities Marketing, Inc. (“MFSM”). He/she will lead cross functional teams responsible for assuring compliance with FINRA, SEC and state regulations governing broker/dealers and investment advisors. The Chief Risk & Compliance Officer will conduct and oversee training, compliance and supervision of associated persons, advise senior management and personnel of emerging compliance issues and consult and advise M Securities and MFSM in establishing controls to mitigate risks.

Responsibilities:

 Oversee regulatory developments for M Securities and MFSM to assure that requirements are met on an ongoing basis
 Review retail communications of M Securities and MFSM and establish and oversee review procedures for other business units of M Financial Group, from a compliance perspective
 Remain knowledgeable with respect to available technologies and procedures to facilitate efficient and effective performance of supervisory and compliance responsibilities
 Keep current with Federal and state laws and regulations and assist with updating policies and procedures for M Securities and MFSM
 Conduct due diligence, as needed, on business issues that impact the overall compliance programs of M Securities and MFSM
 Supervise and conduct audits and testing of branch offices of M Securities in their compliance of written policies and procedures
 Investigate complex issues and customer complaints, as needed, and assist in resolution of issues
 Train and mentor risk management team members on effective interaction techniques with Member Firms of M Financial Group to help ensure a consistent message
 Assist with the development and implementation of compliance training and continuing education for M Securities, MFSM internal teams, and Member Firm staff
 Act as a consultant to Member Firms, coaching and advising on compliance issues and best practices
 Manage and participate in the due diligence process relating to potential new products or product sponsors, ensuring that appropriate procedures are carried out and documented
 Assure required branch office audits are scheduled and conducted in accordance with regulations and prudent practices, as well as directly conduct audits and testing of branch offices of M Securities in their compliance with applicable policies and procedures
 Provide support and direction to compliance staff and work with legal counsel in dealing with regulatory agencies
 Assist with regulatory audits by FINRA, SEC, and state insurance and securities regulators, as needed, and act as lead contact point with regulatory personnel

Core Competencies:

 Achievement Orientation
 Impact and Influence
 Drive and Initiative
 Learning Agility
 Teamwork and Cooperation
 Organizational Awareness

Qualifications:

 Four year degree or equivalent experience. MBA or JD preferred.
 FINRA Series 7, 24, 63 and 65 or 66 licenses
 Life insurance license
 Ten years of related, progressively responsible work experience, including five years’ experience at management level. Experience in the practice of securities law is desirable.
 Excellent oral and written communication skills
 Excellent presentation, interpersonal and negotiation skills
 Excellent ability to establish and maintain relationships with Member Firms of M Financial Group, vendors, senior M Financial management and M Securities Advisory Board.
 Demonstrated leadership ability and proven management skills with respect to professional-level staff
 Well-developed computer skills, including the use of MS Word, Excel, PowerPoint, Internet and database management programs

Job Conditions and Environment:

 Normal office environment/desk assignment
 Extensive use of PC, monitor, keyboard

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