Job Purpose: This position is responsible for providing Financial Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and insurance/annuity compliance supervision and oversight to CUNA Brokerage Services, Inc., its field staff, firm and other entities. In addition, this position is responsible for supervising registered sales representative activity in a particular geographic region, relating to FINRA and CUNA Brokerage Services, Inc. requirements. This includes traveling to field offices to perform regulatory audits and general FINRA supervision of assigned representatives. Communicates regulatory exposure or concerns to Sr. Leadership, keeps abreast of changes in the regulatory environment, and develops & implements strategic safeguards accordingly. Location: the hired candidate will work remotely from home and reside in Puerto Rico. Job Responsibilities: Provide compliance oversight and supervision to national base of registered representatives (including CUNA Mutual Group employees, those employed by a credit union and self-employed), advisor managers and support staff, supervising principals, and other registered CMFG associates. As a general securities principal registered with FINRA, perform complex compliance reviews and assessments to adhere to securities requirements on behalf of the broker dealer. As a general securities principal registered with FINRA, exercise direct supervision over each registered representative assigned, consistent with the requirements of CUNA Brokerage Services and applicable law and regulation. (including correspondence, transactions and general sales supervision) Perform Regulatory Audits to ensure adherence to CUNA Brokerage Services, Inc. processes and standards. Reviews & follows-up with registered representative regarding deficiencies identified in annual compliance audits. Assists in training & presentations for field force on regulatory issues encompassing sales, supervisory and record keeping functions. Responsible for the receipt, review and analysis of information to resolve customer complaints in an appropriate manner. Ensure registered representatives complete Annual Regulatory Requirements; investigate and resolve flagged responses. Conduct comprehensive assessments to determine probability and impact of risk. Create and implement solutions to mitigate such risk. Provide support for internal and external inspections by outside entities including credit unions, NCUA, state regulators, SEC and FINRA. Identify, analyze and resolve regulatory issues arising within the organization (field and home office) to minimize the risk to the firm, registered advisors and clients. Responsible for all regulatory reporting required for a broker dealer and/or Registered Investment Advisor (RIA) Provide consultation and advice as a subject matter expert to projects Conduct continuous regulatory testing to ensure satisfaction of business objectives, legal soundness, and compliance with rules and regulations. Act as liaison with various business areas within CUNA Mutual Group and external business partners. Coordinate with regulators on securities inquiries, investigations and examinations. Updates & revises internal compliance procedures & manuals to reflect changes as directed by FINRA, SEC, etc. The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time. Job Requirements: FINRA Series 6 or 7, 26 or 24 registrations, Life/Health and variable insurance licenses Series 63 and 65/66 Registration within 180 days in position, Series 53 within 6 months in position. Five years professional work experience in regulatory compliance of the securities industry. Bachelor's degree in Business, Marketing, Insurance or other related field or equivalent professional work experience in the securities industry. Demonstrated analytical and organizational skills. Ability to work with limited direction, set priorities, manage deadlines and work in a team environment. Ability to understand and abide by the confidential nature of information managed and tasks performed. Strong ability to communicate clearly, concisely, tactfully and effectively both verbal and in writing to large and diverse audiences. Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products and securities transactions. Strong written and verbal communication skills and human relation skills. Advanced negotiating and influencing skills. Must be bilingual in English and Spanish - fluent in speaking/writing/reading complex information in a simple and concise manner. Must be a resident of Puerto Rico. LI-EV CUNA Mutual Group's insurance, retirement and investment products provide financial security and protection to credit unions and their members worldwide. As a dynamic and growing company, we strive to create a culture of performance, high standards and defined values. In return for your skills and contributions, we offer highly competitive compensation and benefit packages, significant professional growth, and the opportunity to win and be rewarded. Please provide your Work Experience and Education or attach a copy of your resume. Applications received without this information may be removed from consideration. SDL2017
