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Summary
About the Role
About You
- College Degree (or equivalent experience).
- 15+ years’ experience in Compliance related discipline.
- 10+ years’ experience in a Compliance management role.
- Series 7 and 24 certifications.
- FINRA Certified Regulatory and Compliance Professional designation.
- Strong analytical, process management, problem solving, and communication skills.
- Proficient in regulatory requirements including the Investment Advisers Act of 1940 and Securities Exchange Act of 1934.
First Command Financial Services, Inc. coaches our Nation’s military families in their pursuit of financial security. Since 1958, First Command Financial Advisors have been shaping positive financial behaviors through face-to-face coaching with hundreds of thousands of client families. Please follow our LinkedIn guidelines: https://www.firstcommand.com/social-media-guidelines/ This page contains a testimonial from an employee or Financial Advisor for First Command Financial Services, Inc. and/or its affiliated entities (together "First Command"). It is shared solely for purposes of recruiting (i.e., to help you determine whether a career as an employee or Financial Advisor is a good fit for you). It is not intended to be an advertisement for First Command's products or services. The testimonial was provided by the employee or Financial Advisor on a strictly voluntary basis. First Command has not paid any compensation to the employee or Financial Advisor for the testimonial; however, the employee or Financial Advisor is a paid employee or independent contractor of First Command and is supervised by their Managers or District Advisor with respect to their day to day activities. The testimonial may not be representative of the experience of other First Command employees or Financial Advisors and is no guarantee of future performance or success.