Compliance Officer - Public Communications Review (Dallas, TX)

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.

This position is a Compliance Officer of M Holdings Securities, Inc. (M Securities), a FINRA registered broker-dealer and SEC registered RIA. This position seeks to ensure compliance with FINRA and SEC regulations while supporting M Securities in meeting its regulatory responsibilities related to broker-dealer and investment advisory operations.

Responsibilities :

Maintain a working knowledge of securities, insurance, and advisory products offered by M Securities and support the firms efforts to meet federal and state laws, regulatory requirements, and policies and procedures.Conduct due diligence, as needed, on business issues that impact the overall compliance program of M Securities.Complete documentation for communications with the public compliance recordkeeping system.Strive for consistency of compliance reviews on an ongoing basis to ensure all reviews are performed consistently across the organization.Develop positive, solutions-oriented relationships with Member Firms.Act in a consultative role to Member Firms, coaching and advising on compliance issues and best practices.Effectively communicate policies and procedures internally and to Member Firms.Stay current on regulatory changes, compliance tools, and emerging risks in the financial industry.Specialized Responsibilities - Public Communications and Marketing Review :

Review and approve advertising and marketing communications from advisors and internal Marketing department, including websites, newsletters, social media, and sales literature ensuring all materials comply with state and federal laws, rules and regulations, and M Securities standards.Analyze communications and information and make accurate, independent compliance decisions.Assist with applicable projects in communications with the public compliance review process, including training where necessary.Assist with development of automated processes and procedures to enhance broker / dealer efficiencies.Qualifications :

Bachelor’s degree in Business Law, Accounting, or related industry preferred or suitable combination of education and experience.FINRA Securities Registrations – Series 7 & 24 requiredFINRA Securities Registrations – Series 63, 65 & 66 preferredMinimum three years of progressively responsible, related work experienceStrong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws rules and regulations for broker-dealers, investment advisers and insurance companies.Proficiency with MS Office, Word, Excel, PowerPoint, with aptitude for learning new technologiesStrong attention to detail and ability to identify discrepancies or potential compliance risks in documentation, reports, and processesExcellent written and oral communication skillsStrong personal integrity to uphold ethical standards and foster a culture of complianceAbility to work independently and collaborate within a team environmentAbility to assess complex regulations, interpret data, and make well-reasoned compliance decisionsAbility to organize and manage large amounts of diverse information and documentationCompensation & Benefits :

Salary will be commensurate with relevant experience, knowledge, and skills.You will also be eligible for an annual incentive plan bonus.

M Financial offers a comprehensive benefits package, including :

Medical / Vision InsuranceDental InsuranceShort-Term and Long-Term Disability InsuranceLife InsuranceModern Health (Mental Health Therapy and Coaching)Empathy (Bereavement Support)Employee Assistance ProgramLife InsuranceFSA (Health and Dependent Care)HSA (for qualified medical plan)Long-Term Care Insurance401(k) MatchTuition AssistanceJob Conditions & Environment :

This position is based on-site at our offices in Uptown at the Quad in Dallas, TX with the flexibility to work one day remotelyNormal office environment / desk assignmentLight travel, up to 10% of the timeExtensive use of PC’s, computer terminal, display, keyboard, and mouseExtensive hands-on work with documents, spreadsheets, and other written documents

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.

M Financial is proud to be an equal opportunity workplace.