Compliance Risk Manager Senior – Broker/Dealer

San Antonio Home Office I

Charlotte, NC - CENTS

Colorado Springs Campus

Tampa Crosstown

Phoenix Campus (Main)

Plano East

Full time

R0121709

Why USAA?

At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We seek to be the #1 choice for the military community and their families.

Embrace a fulfilling career at USAA, where our core values – honesty, integrity, loyalty and service – define how we treat each other and our members. Be part of what truly makes us special and impactful.

We are proud to support active-duty military spouses. USAA roles may offer remote or hybrid flexibility for active-duty military spouses consistent with applicable policy and business needs.

The Opportunity

The Compliance Risk Manager Senior – Broker/Dealer provides independent second-line oversight and guidance to help ensure business products, services, and processes comply with regulatory requirements. This role partners closely with the business and key stakeholders to identify and manage compliance risk while promoting a strong culture of compliance, integrity, and sound professional judgment. The ideal candidate will bring Series 7 and 24 licenses, experience working with regulators, knowledge of FINRA rules and requirements, and financial services testing or audit experience.

We offer a flexible work environment that requires an individual to be in the office 4 days per week. This position can be based in one of the following locations: San Antonio, TX, Plano, TX, Phoenix, AZ, Colorado Springs, CO, Charlotte, NC, or Tampa, FL

Relocation assistance is not available for this position.

What you'll do:

• Coordinate market conduct examinations and data calls.

• Provides guidance to the business to ensure documents, projects, processes or product initiatives align with regulatory and legal requirements and enterprise policy.

• Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution.

• Reviews implementation planning for new laws and regulations and ensures appropriate parties have been engaged.

• Conveys information and position clearly, concisely, logically and in an organized manner.

• Implements compliance risk management activities in accordance with enterprise compliance policies and procedures.

• Collaborates with various department in the areas of Underwriting, Claims, State Management, Enterprise Licensing and Legal.

What you have:

• Bachelor's degree; OR 4 years of relevant education and/or experience.

Experiences that will support your success:

• 6 or more years relevant experience in compliance, risk, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role.

• Demonstrated experience working in a highly regulated environment.

• Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations.

• Demonstrated ability to apply advanced knowledge of regulatory compliance to consult and provide insight and guidance.

• Advanced knowledge of Microsoft Office tools to include Word, Excel, and PowerPoint.

• Experience providing guidance and best practices to team members.

What sets you apart:

• Securities license 7 and 24.

• Experience working and communicating with regulators

• Familiarity with FINRA rules and requirements.

• Testing or Audit experience in financial services

• US military experience through military service or a military spouse/domestic partner

Compensation range: The salary range for this position is: $103,450 - $197,730 .

USAA does not provide visa sponsorship for this role. Please do not apply for this role if at any time (now or in the future) you will need immigration support (i.e., H-1B, TN, STEM OPT Training Plans, etc.).

Compensation: USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience and market data of the position. The actual salary for this role may vary by location.

Employees may be eligible for pay incentives based on overall corporate and individual performance and at the discretion of the USAA Board of Directors.

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

Benefits: At USAA our employees enjoy best-in-class benefits to support their physical, financial, and emotional wellness. These benefits include comprehensive medical, dental and vision plans, 401(k), pension, life insurance, parental benefits, adoption assistance, paid time off program with paid holidays plus 16 paid volunteer hours, and various wellness programs. Additionally, our career path planning and continuing education assists employees with their professional goals.

For more details on our outstanding benefits, visit our benefits page on USAAjobs.com.

Applications for this position are accepted on an ongoing basis, this posting will remain open until the position is filled. Thus, interested candidates are encouraged to apply the same day they view this posting.

USAA is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

If you are an existing USAA employee, please use the internal career site in OneSource to apply.

Please do not type your first and last name in all caps.

Find your purpose. Join our mission.

USAA is unlike any other financial services organization. The mission of the association is to facilitate the financial security of its members, associates and their families through provision of a full range of highly competitive financial products and services; in so doing, USAA seeks to be the provider of choice for the military community. We do this by upholding the highest standards and ensuring that our corporate business activities and individual employee conduct reflect good judgment and common sense, and are consistent with our core values of service, loyalty, honesty and integrity.

USAA attributes its long-standing success to its most valuable resource: our 35,000 employees. They are the heart and soul of our member-service culture. When you join us, you'll become part of a thriving community committed to going above for those who have gone beyond: the men and women of the U.S. military, their associates and their families. In order to play a role on our team, you don't have to be connected to the military yourself – you just need to share our passion for serving our more than 13 million members.

USAA is an EEO/AA Employer - applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetic information, sexual orientation, gender identity or expression, pregnancy, protected veteran status or other status protected by law.

California applicants, please review our HR CCPA - Notice at Collection (https://statmcstg.usaa.com/mcontent/static\_assets/Media/enterprise\_hr\_cpra\_notice\_at\_collection.pdf) here.

USAA is an EEO/AA Employer - applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetic information, sexual orientation, gender identity or expression, pregnancy, protected veteran status or other status protected by law.