Investment Services Compliance Specialist

Navy Federal Credit Union

Compliance Specialist overseeing compliance and regulatory adherence for Navy Federal Investment Services. Managing compliance activities, including testing and guidance for registered representatives.

Posted 6/3/2026full-timeVienna • Virginia • 🇺🇸 United StatesJuniorMid-Level💰 $78,400 - $123,200 per yearWebsite

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

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

Benefits

Comp & perks

Highly competitive pay
Generous benefits and perks

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program managementannual compliance testingsecurities activities oversightinsurance processingregulatory requirements knowledgecustomer service operationsanalytical skillsproblem-solving skillspresentation skillseffective communication

Soft Skills

organizational skillsplanning skillstime management skillsinterpersonal skillsconflict resolutionnegotiationrelationship buildinginitiativesound judgmentverbal communication

Certifications

FINRA Series 7FINRA Series 24FINRA Series 53NASAA Series 63NASAA Series 65NASAA Series 66Life & Health Insurance License