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Job Details

Communications Compliance Officer

Company name
M Financial Group

Location
Portland, OR

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Profile

Talented people.Ideal location.Demonstrated core values\u2014Innovation, Excellence, Collaboration, Leadership, and Advocacy.And a community of driven, high achievers who care about each other, our communities, and the clients we have the opportunity to serve.
If this strikes a chord with you, consider working with us at M Financial Group.

Our history of creativity and differentiation sets us apart.From our LEED certified offices in the heart of Portland\u2019s Pearl District, to how we show our appreciation for one another, M Team members are exceptional, especially when it comes to serving our Member Firms and their clients.

Our proprietary products and process solutions are innovative with unique features and flexible options, disrupting the life insurance industry as we advocate for individuals, families, and businesses who rely on M Member Firms to help them achieve their goals.And we understand that we succeed only when our clients succeed.

Read more about this position and discover some of the exciting opportunities available when you join the M Community.

What you will do: Establishes and maintains a working knowledge of securities, insurance and advisory products, legal and regulatory requirements and M Securities forms and processes.Review and approve advertising and marketing communications from advisors and internal Marketing department, including websites, newsletters, social media and sales literature ensuring all advertising and sales literature complies with state and federal laws, rules and regulations, and M Securities standardsAnalyze communications and information and make accurate and independent compliance decisionsResponds to inquiries from sales associates concerning communications with the public, social media and public communications.Participates in applicable projects to implement significant structural changes to the communications with the public compliance review process, including training where necessary.Conduct due diligence, as needed, on business issues that impact the overall compliance program of M Securities when requested.Completes documentation for communications with the public compliance recordkeeping system and keeps databases current.Effectively tracks communications with the public and sales literature using applicable methods and tools per industry\/company record retention requirements.Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.Other duties related to compliance or communications with the public as assigned.Policies and Procedure ImplementationAssists with development of automated processes and procedures to enhance broker\/dealer efficienciesMaintains current knowledge of federal and state laws and regulations, assisting with updating M Securities policies and procedures as requestedParticipates in initiatives to update, amend or otherwise revise policies, procedures related to communications with the public. Relationship Management and Communication Develop positive, solutions-oriented relationships with Member Firms to provide value-added and efficient service to Member Firms, including on-boarding of all new Member Firms and associated Registered representativesAct in a consultative role to Member Firms, coaching and advising on compliance issues and best practicesEffectively communicate policies and procedures internally and to Member Firms Miscellaneous Perform other duties, as assigned What you will bring:

Core Competencies: Calm and professional demeanor when handling stressful situations including pressure associated with volume workloads, and meeting deadlines and target dates.Knowledge of rules, laws and regulations relevant to securities compliance and communications,, including FINRA, SEC and state laws rules and regulations for broker-dealers, investment advisers and insurance companies. Ability to organize and manage large amounts of diverse information and documentation.Work habits that result in effective working independently, and within a team environmentStrong analytical and communication skillsGeneral competence with databases, common office software, relationship management software; aptitude for learning new technologies. Qualifications: Bachelor\u2019s degree or equivalent experienceMinimum of 5 years of progressively responsible, related work experienceSecurities Licenses: Series 7, 24, or the ability to obtain within 6 months of employmentProficiency with MS Office, Word, Excel, Powerpoint Job Conditions and Environment: Normal office environment\/desk assignmentExtensive use of PCs, computer terminal, display, keyboard, and mouseExtensive close work with documents, publications, databases, and spreadsheets

Company info

M Financial Group
Website : http://www.mfin.com/default.html

Company Profile
M Financial Group was founded in 1978 to change how insurance companies served successful producers with exceptional business and enhance what these successful producers could deliver to their clients. From its inception, M Financial has been a community of sharing, entrepreneurship, innovation, and success. We began with 13 Member Firms, and today, there are more than 125 Member Firms in 36 states and Canada, and more than 600 producers.

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