Senior Director, Branch Inspection & Compliance Strategy

First Command; Fort Worth (TX); On-site; USD 120,000 - 180,000; Full time

Job summary

First Command seeks an Associate Director to oversee the Branch Inspection Program in Fort Worth, TX. You will drive the design, execution, and continuous improvement of risk-based inspections across broker-dealer and advisory lines.

You will lead a team, mentor staff, and ensure regulatory readiness with FINRA, SEC, and state rules. Strong leadership and strategic collaboration with Compliance Leadership are essential.

Qualifications

• Bachelor’s degree required.
• 8+ years of experience in financial services compliance.
• 3–5 years of leadership experience overseeing a team within a compliance, audit, or inspection function.
• FINRA Series 7 and Series 24 required.

Responsibilities

• Lead design, execution, and enhancement of the firm's risk-based inspection program, including risk assessment and inspection frequency.
• Provide strategic direction for inspections based on regulatory or risk trends.
• Define roles and career progression for the inspection team and build organizational structure.
• Oversee inspection findings review, risk classification, and remediation tracking.
• Establish and maintain a formal Quality Control framework for outputs and reviews.
• Oversee enhancements to inspection tools and data reporting for accuracy.

Skills

Leadership

Regulatory knowledge

Analytical thinking

Communication

Travel readiness

Education

Bachelor’s degree

Tools

AuditTrax

Job description

First Command seeks an Associate Director to oversee the Branch Inspection Program in Fort Worth, TX. You will drive the design, execution, and continuous improvement of risk-based inspections across broker-dealer and advisory lines.

You will lead a team, mentor staff, and ensure regulatory readiness with FINRA, SEC, and state rules. Strong leadership and strategic collaboration with Compliance Leadership are essential.