Securities Operations & Compliance Specialist

Navy Federal Credit Union

Vienna (VA)

On-site

USD 45,000 - 65,000

Full time

3 days ago

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Job summary

Navy Federal Credit Union seeks an Operations Specialist to support the brokerage, digital, and insurance services. You will review and approve account paperwork, assist audits, and respond to routine inquiries while maintaining regulatory adherence and accurate recordkeeping.

Working with Client Relationship Managers and internal teams, you will help resolve operational issues, manage documentation, and stay current with SEC/FINRA guidelines. This role requires attention to detail and teamwork.

Qualifications

2+ years of experience in financial services, preferably in securities and insurance.
Operational and/or administrative support experience.
Knowledge of SEC/FINRA regulations related to securities records.
Active registrations and licenses to be obtained within 120 days.

Responsibilities

Review, process, and approve account paperwork for investment services and digital investor for completeness and accuracy.
Support audits by gathering and organizing required documentation.
Respond to routine inquiries from staff and vendors regarding account status and documentation.
Maintain knowledge of SEC, FINRA, and internal policies; escalate complex issues to senior staff.
Assist in tracking and filing securities and insurance records in compliance with regulatory standards.
Collaborate with Client Relationship Managers and other stakeholders to resolve operational issues.