Integrity · 5 months ago
Director of Compliance
Urbandale, IA
Full-time
Onsite
Director/Executive
6+ years expIntegrity is one of the nation’s leading independent distributors of life, health and wealth insurance products, driven by a mission to help people protect their assets. The Director of Compliance will oversee compliance functions, manage a team, and ensure the organization adheres to all relevant regulations and policies.
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Responsibilities
Assist CCO in development and maintenance of firm policies, procedures, and guidelines. Manage day-to-day operation of the firm’s compliance and AML programs
Contribute to the development of an effective compliance training program, including appropriate introductory training for new employees and registered representatives as well as ongoing training
Manage a team of compliance professionals, including supervision, task assignment, training, evaluation, coaching, and employee development
Lead annual audits, reviews, and testing of compliance programs to identify any gaps and/or areas of improvement
Assist in the preparation of responses to regulatory inquiries and examinations, and customer complaints. Assist with internal reviews, investigations, and disciplinary process of supervised persons. Oversee regulatory filings for the organization’s entities
Proactively review business activities to identify potential regulatory, compliance, and reputational risk. Develop/initiate corrective action for the identified risks
Provide regulatory and compliance guidance to business on ongoing basis. Partner with other departments to collaborate and promote compliance efforts. Participate in organization committees on behalf of compliance
Monitor and evaluate industry trends, regulatory changes, and best practices and make recommendations for improvements to internal processes and procedures
Other duties as assigned
Travel up to 10%
Qualification
Required
Financial Services Industry experience required
Four-year college or university program and six to eight years related experience and/or training; or equivalent combination of education and experience
FINRA Series 7 and 24 required
Ability to communicate effectively with all levels of management
Ability to develop and implement effective strategies and short/long term planning
Maintains high standards of confidentiality of all information
Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes
Thorough understanding of rules, regulations and legal requirements of the SEC, FINRA, MSRB, AML and state securities regulators
Proficiency with examination principles and practices for the securities industry
Must be able to learn use of internal and third-party systems
Ability to identify, weigh and convey potential risks
Preferred
Prior Broker Dealer and RIA experience preferred
Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning and securities a plus
Series 66, Series 65, Series 53, and Series 4 preferred or required within 6 months; Insurance and state securities license(s) in state(s) of operation for life, health, and variable annuity may be required
Benefits
Competitive compensation package
Benefits that make work more fun
Give you and your family peace of mind
Company
Integrity
Integrity is a leader in providing holistic life, health and wealth planning and solutions designed to help Americans prepare for the good days ahead.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
$2.15BKey Investors
Silver Lake
2021-12-09Private Equity· $1.2B
2019-09-16Debt Financing· $945M
2019-08-28Private Equity
Leadership Team
Linda Zukauckas
Chief Financial Officer
Said Taiym
Chief Operating Officer
Recent News
Company data provided by crunchbase