Brokerage Operations & Compliance Specialist

Navy Federal Credit Union; San Diego (CA); On-site; USD 54,000 - 76,000; Full time

Job summary

Navy Federal Credit Union’s NFIS group seeks an experienced operations professional to oversee account setup paperwork for securities, digital investor services, and insurance. You will ensure accuracy, regulatory adherence, and timely processing while supporting audits and cross-functional teams.

The role requires knowledge of SEC/FINRA rules, relevant licenses, and the ability to work independently within a team to resolve complex operational issues and maintain high service levels.

Qualifications

• 2+ years in financial services, preferably securities/insurance, providing operational/administrative support.
• Knowledge of SEC and FINRA regulations regarding securities records.
• Active registrations/licenses including FINRA series 7 & 24, NASAA 65/66 (and 63 where required) and Life & Health Insurance License to be obtained within 120 days.
• Experience using CRD & IARD databases to manage registered securities employee records.
• Able to work independently and in a team environment.
• Able to interpret data/instructions and apply procedures and regulations effectively.
• Strong interpersonal skills with staff, management, vendors, and members.

Responsibilities

• Review, process, and approve account paperwork for investment services for completeness and accuracy.
• Support audits by gathering and organizing required documentation.
• Respond to routine inquiries about account status and documentation.
• Maintain knowledge of SEC/FINRA regulations and escalate complex issues.
• Assist in tracking and filing securities/insurance records for regulatory compliance.
• Collaborate with Relationship Managers to resolve operational issues.
• Compile data for reports, audits, and projects and distribute to stakeholders.
• Contact members/staff/vendors to obtain missing information and resolve issues.
• Educate managers on systems, processes, timelines, and reporting practices.

Skills

Verbal and written communication

Independence

Team collaboration

Regulatory awareness

Education

FINRA/NASAA licenses (pending) & Life & Health Insurance License

Tools

CRD & IARD databases

Job description

Navy Federal Credit Union’s NFIS group seeks an experienced operations professional to oversee account setup paperwork for securities, digital investor services, and insurance. You will ensure accuracy, regulatory adherence, and timely processing while supporting audits and cross-functional teams.

The role requires knowledge of SEC/FINRA rules, relevant licenses, and the ability to work independently within a team to resolve complex operational issues and maintain high service levels.