VP Compliance, Legal&Risk-Nffg

Direct the management of Navy Federal Financial Group (NFFG) compliance programs, regulatory reporting, communications, inquiries, and audits to Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), Municipal Securities Ruling Board (MSRB), all state Department of Financial Institutions (pertaining to securities and insurance regulations), Federal Reserve, Department of Labor (DOL) (pertaining to ERISA and other investment/ insurance laws regulations), and NCUA and Navy Federal standards. Serve as Bank Secrecy Act (BSA)/Anti Money Laundering (AML) under rules governed by the Financial Crimes Enforcement Network (FinCEN). Serve as Risk Officer to implement NFCU Enterprise Risk Management Program.

Develop NFFG strategic compliance initiatives for Navy Federal Investment Services, a SEC Registered Investment Advisor and FINRA Registered Broker Dealer. Serve as Chief Compliance Officer for NFIS and NFFG. Ensure NFIS and NFFG staff adhere to regulations with State Insurance Divisions.

Ensure compliance with municipal/options transactions. Serve as primary Legal representative for NFIS and NFFG.