Careers
Working at Nations
Nations Financial Group, Inc. is a rapidly growing independent Registered Investment Advisory (RIA) firm and registered Broker Dealer serving independent Advisors and Registered Representatives nationwide. Headquartered in Cedar Rapids, Iowa, we are proud of our Midwest roots, our integrity, strong work ethic, and culture of helping others.
We genuinely care about our Advisors and their teams. This is most evident in our founding principles of TrueWealth. That same TrueWealth mission applies to our team members and their families by promoting work/life balance and personal flexibility.
At Nations, our team members strive daily to provide the best experience for our Advisors and their team members. We are always interested in highly motivated candidates who share our core values and our TrueWealth mission. If you are a focused problem solver who enjoys helping others, consider a career at Nations Financial Group.
JOIN OUR TEAM
Benefits of Working at Nations
Medical, Dental, and Vision Benefits
Health Savings Account (HSA)
Basic Life, Accident and Disability
Long Term Disability
401(k) with Matching
Profit Sharing Plan
Paid Holiday
Paid Time Off (PTO)
Work-Life Balance
Current Openings
Department
Technology
Job Level
Specialist
Exemption Status
Exempt
Reports To
Director Of Technology
Position Summary
A qualified IT Support Specialist who will support, set up, and train users on cloud-based Fintech solutions. A successful IT Support Specialist must have a thorough knowledge of computer software and hardware and various internet applications, working knowledge of network and operating systems. The ideal candidate will have great troubleshooting abilities and attention to detail with an aptitude for learning.
Essential Duties and Responsibilities
- Responding promptly to service issues and support requests
- Perform troubleshooting to diagnose and resolve problems
- Maintain service issues and support requests tickets of repairs and fixes
- Provide orientation and guidance to users on “how to” FinTech and cloud-based software solutions
- Setup accounts for new users across multiple platforms
- Install and configure computer software, systems, printers, and scanners
- Create and maintain documentation
- Manage cloud system configurations
- Assist leadership in data mining and report generation
Skills
- Positive and friendly attitude
- Enjoys working with and helping clients and customers
- Working knowledge of Windows operating systems and Office
- Excellent diagnostic and problem-solving skills
- Excellent communication ability
- Outstanding organizational and time-management skills
- Working knowledge of databases and data reporting
Minimum Education and Experience
- BA or Technical Degree Preferred; however, any schooling directed at the technical field, financial industry, or related experience would be acceptable.
- Familiar with cloud computing services: Azure, Office 365, familiarity with Fintech Cloud solutions a plus.
- Knowledgeable of Microsoft Windows domain environments, office networking, telecommunications, and business applications/systems
- Strong analytical skills, self-directed, and ability to work well in a team environment
- Strong technical aptitude
- Ability to learn and apply troubleshooting methods
- Exceptional written and verbal skills
- Database and SQL knowledge including MS Access, MS SQL, Excel, Power Query, and PowerBI
- Experience with low code automation, RPA, AI, and API’s a plus
Desired Skills and Competencies
- Customer service mindset with good to great phone skills
- Creative thinker
- Aptitude in decision-making and problem-solving
- Self confident and goal-oriented
- Seeks advancement and knowledge in the IT space
Minimum Skills and Competencies Required to Perform Job Competently
Must be highly motivated, comfortable working independently, good decision making, and organizational skills complemented with a sufficient ability to work with various personality types. Must have effective written and verbal communication skills.
- Able to work independently with good problem solving, mathematical, and time management skills
- Work experience that demonstrates interpersonal and teamwork skills
- Organized, meticulous, detail-oriented, and able to multitask
- Professional attitude, demeanor, and appearance with the ability to represent Nations positively in the community
Travel Frequency (Amount of Time Working Outside the Office): 1%
Approximately 10%. Ability to travel locally within a specific geographic area; some travel outside of the particular geographic location as applicable.
Disclaimer: The above statements are intended to describe the general nature and level of work performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of employees so classified.
Department
Trading and Risk
Job Level
Exemption Status
Exempt
Reports To
Chief Compliance Officer
Position Summary
The Trading and Risk Specialist supports the Chief Compliance Officer in implementing procedures to ensure that the organization’s compliance programs are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations while also executing all functions of the Firm’s trade desk. This position is primarily responsible for executing the trade desk, its functions, and performing various supervisory reviews and oversight using a principle and risk-based approach
Essential Duties and Responsibilities
- Principal review of registered representative’s day-to-day securities activities including, but not limited to, suitability review of brokerage accounts, advisory accounts, and direct business accounts such as annuities and alternative investments
- Review securities trades and address/reconcile flagged trades
- Review all forms of correspondence and public communications
- Supervise the Nations-related activities of non-registered associated persons
- Follow up with registered representatives on issues identified by other associates, such as responses to the quarterly policy acknowledgments, audit findings, and surveillance inquiries
- Document, manage and escalate supervisory concerns through supervision or escalation cases
- Providing guidance, advice, and/or training and educational programs to improve associated persons’ understanding of related laws and regulatory requirements.
- Ensure that various supervisory tasks are conducted according to the Firm’s policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies (trade, correspondence, etc. reviews)
- Understand all facets of the Written Supervisory Procedures manual and consult with the CCO on any issue where additional guidance is necessary to perform the supervisory functions
- Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications, and establishing personal networks.
- Conduct Branch Examinations and Reviews
- Execute all Trade Desk duties including but not limited to: trade execution, trade corrections, trade reporting, bond trading, block trading, portfolio trading.
- Assist with any regulatory examinations or investigations as needed
- Support the Firm’s discount brokerage clients and activities
- Various other duties as necessary
Minimum Education and Experience
- 5+ years of industry experience in a compliance role with a FINRA registered broker-dealer and/or SEC registered investment advisor.
- Series 7, 63, 24, and 65 or 66 are required.
- Life and insurance license and Series 53, 4, and 55 a plus, but not required
- Clean U-4 and excellent credit history
Desired Skills and Competencies
- Investigative Research
- Financial Analyst
- Due Diligence
- Examiner
- Insurance product knowledge
Required Skills – Minimum Skills and Competencies Required to Perform Job Competently
Must be highly motivated, comfortable working independently, good decision making, and organizational skills complemented with effective communication abilities to work with all associated persons’ groups. Must have effective written and verbal communication skills.
Travel Frequency (Amount of Time Working Outside the Office): 15%
Approximately 10-15%. Ability to travel locally within a specific geographic area; some travel outside of specific geographic areas as applicable.
Disclaimer: The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees so classified.
Department
Operations
Job Level
Specialist
Exemption Status
Exempt
Reports To
Director of Operations
Position Summary
The Operations Specialist is responsible for the delivery of a high touch, high service client experience that leads to the retention of long-term quality clients and FA’s from the operations department. They will assure strict adherence to service delivery systems, regulatory requirements and company operational standards
Essential Duties and Responsibilities
- Periodically reviewing the operational program and procedures for best practices or in light of changes.
- Providing guidance, advice, and/or training and educational programs, to improve associated person’s understanding of operational requirements.
- Being knowledgeable of the firms’ compliance program and to help educate and assist all associated persons with regard to operations compliance to assist in creating a culture of compliance.
- Ensures that required documentation or instructions for operational processing are in line with firm and industry requirements, rules and regulations.
- Works with associated persons and vendors as a key contact for operational problem resolution.
- Assisting with all daily and periodic operational activities. Including but not limited, to Cashiering, Brokerage and Advisory On-boarding, and Transfers.
- Interacts daily on the phone, through email and in person with associated persons.
- Participate in training and cross-training of operational functions.
- Perform other duties as assigned.
Minimum Education and Experience
- High school diploma or GED. Additional schooling preferred.
- FINRA SIE and Series 99 registrations or willing to attain within first 12-months. Also, willing to obtain additional registrations.
Desired Skills and Competencies
- Previous operational experience within the brokerage and advisory service industry.
- Securities Industry Essential (SIE) exam or other relevant FINRA registrations preferred.
Required Skills – Minimum Skills and Competencies Required to Perform Job Competently
Must be highly motivated, comfortable working independently, good decision making and organizational skills, complemented with effective communication abilities to work with internal and external customers in a way that instills trust. Must have effective written and verbal communication skills. Be comfortable working in an environment governed by strict rules and rigorous guidelines.
- Strong attention to detail
- Excellent problem-solving and follow-up skills
- Excellent customer service skills
- Ability to multi-task and work effectively in a fast-paced/high volume environment
- Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
Travel Frequency (Amount of Time Working Outside the Office): 1%
Disclaimer: The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees so classified.
Department
Protect
Job Level
Senior
Exemption Status
Exempt
Reports To
COO
Position Summary
As the compliance leader and subject matter expert, the CCO is responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable policies, procedures, laws and regulations.
The CCO must provide reasonable assurance to senior management that there are effective and efficient policies and procedures in place, well understood and respected by all associated persons and that the company is complying with all regulatory requirements.
Essential Duties and Responsibilities
- Excellent knowledge and experience with writing, maintaining, and revision of firm procedures and record keeping.
- Developing the compliance program and procedures that reflects the organization’s unique characteristics.
- Periodically revising the compliance program and procedures in light of changes.
- Guiding in a productive, professional way, the compliance team.
- Overseeing and monitoring the implementation of the compliance program.
- Assisting with daily and periodic supervisory and monitoring activities.
- Providing guidance, advice, and/or training and educational programs, to improve the associated person’s understanding of related laws and regulatory requirements.
- Providing strategic direction to the management team on compliance.
- Interacting with regulators on compliance issues.
- Coordinating all efforts related to audits, reviews, and examinations.
- Developing policies and programs that encourage associated persons to report suspected fraud and other improprieties, without fear of retaliation.
- Coordinating internal compliance review and monitoring activities, including periodic reviews of all departments’ activities.
- Supervise and support the trade desk and its functions.
- Educate and assist all associated persons with regard to compliance to assist in creating a culture of compliance.
- Independently investigating and acting on matters related to compliance.
- Facilitate securities and insurance initial and renewal licensing as needed for the firm and associated persons.
- Assist and partake in the conversion and onboarding process of new associated persons.
Minimum Education and Experience
- At least 8+ years of industry experience in a compliance role with a FINRA registered broker-dealer.
- Series 7, 63, 24 and 65 or 66 are required. Willing to take additional exams as needed.
- Bachelor’s degree. Advanced degree is a plus.
- Strong Leadership qualities
- Clean U-4 and excellent credit
- In-depth knowledge of the industry’s standards and regulations.
- Strong working knowledge of Fixed Income regulations including primary issuance of debt and institutional sales practices.
- Experience with and the implementation of Best Interest, KYC and AML policies.
- Ability to identify and solve complex compliance issues or policies in a team environment working with various levels of management.
- Excellent knowledge and experience with writing, maintaining, and revision of firm procedures and record keeping.
Desired Skills and Competencies
Investigative Research
Financial Analyst
Due Diligence
Examiner
Insurance product knowledge
Minimum Skills and Competencies Required to Perform Job Competently
Must be highly motivated, be comfortable working independently, and have good decision-making abilities, organizational skills, and the ability to work with various personality types. Must have effective written and verbal communication skills.
Travel Frequency (Amount of Time Working Outside the Office): 15%
Approximately 10-15%. Ability to travel locally within a specific geographic area; some travel outside of the particular geographic location as applicable.
Disclaimer: The above statements are intended to describe the general nature and level of work performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of employees so classified.