Compliance Supervisor, Broker-Dealer & Advisers
Insurance Administrative Solutions, L.l.c.
Integrity, LLC seeks a Compliance Analyst - Supervision in Urbandale, IA to supervise registered representatives and investment adviser representatives. The role involves reviewing activities, maintaining procedures, and supporting testing and training efforts for regulatory compliance. The candidate will monitor high-risk activities, prepare supervision reports for the CCO, and assist with policy updates and regulatory changes. A strong compliance background and FINRA licenses are required. #J-18808-Ljbffr Insurance Administrative Solutions, L.l.c.
Vacancy posted 5 days ago
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