Securities Operations & Compliance Specialist

Navy Federal Credit Union; San Diego (CA); On-site; USD 60,000 - 85,000; Full time

Job summary

Navy Federal Credit Union is seeking an operations-focused professional to review and approve client account paperwork for securities and insurance services. You will support audits, respond to inquiries, and ensure regulatory compliance while coordinating with internal stakeholders.

The role emphasizes accuracy and collaboration, requiring knowledge of SEC/FINRA requirements, CRD/IARD systems, and strong communication skills. Office-based in the San Diego area with standard business hours.

Qualifications

• 2+ years experience in financial services.
• Knowledge of securities and insurance operations methods.
• Familiarity with SEC and FINRA regulations for securities records.
• Experience using CRD and IARD databases.
• Strong written and verbal communication skills.

Responsibilities

• Review, process, and approve account paperwork for investment services for completeness and accuracy.
• Assist audits by gathering and organizing required documentation.
• Respond to routine inquiries regarding account status and documentation.
• Maintain knowledge of SEC/FINRA rules and escalate complex issues.
• Track and file securities and insurance records for compliance.

Skills

Financial services

Operational awareness

Regulatory knowledge

SEC/FINRA

Documentation

Audits

Communication

Data tracking

Vendor coordination

Team collaboration

Tools

CRD/IARD

Database systems

Microsoft Office

Imaging/document tools

Job description

Navy Federal Credit Union is seeking an operations-focused professional to review and approve client account paperwork for securities and insurance services. You will support audits, respond to inquiries, and ensure regulatory compliance while coordinating with internal stakeholders.

The role emphasizes accuracy and collaboration, requiring knowledge of SEC/FINRA requirements, CRD/IARD systems, and strong communication skills. Office-based in the San Diego area with standard business hours.