Compliance Analyst, Supervision

Compliance Analyst, Supervision

We are seeking a Compliance Analyst, Supervision professional responsible for overseeing the activities of registered representatives and investment adviser representatives, while serving as a key home office point of contact. This role offers the opportunity to contribute to a growing firm with experienced leadership and a collaborative, cross-functional operating model within the financial services industry. The following are the primary responsibilities for this role based in Urbandale, IA:

• Responsible for the review of written and electronic correspondence
• Review and approval of outside business activities, private securities transactions, political contributions, and personal securities accounts.
• Monitor policies and procedures for compliance with relevant regulations and industry best practices
• Assist with Investment Advisor and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120
• Assist with the development and administration of compliance training and education materials for financial professionals
• Assist with the administration of and conduct marketing material reviews in accordance with Firm and regulatory guidelines.
• Monitor and review trading activity representatives outside brokerage accounts
• Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints, and state inquiries
• Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
• Assist with drafting of Firm communications related to individual compliance related topics
• Assist internal exam staff members with the administration of branch examinations
• The ability to manage daily tasks along with the ability to contribute or lead periodic projects

Desired Skills And Experience

The ideal candidate will have 2+ years of experience in a FINRA- and SEC-regulated broker-dealer and/or RIA environment and hold or be able to obtain relevant licenses (e.g., Series 7, 24, 66, or equivalent, as required).

• Committed to creating a professional environment that places a high value on accountability, and teamwork
• Excellent interpersonal communication skills, both written and verbal
• Strong organizational skills with ability to prioritize activities
• Maintain a strong client focus and the desire to build relationships during each interaction
• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
• Capable of handling multiple tasks and responsibilities
• Ability to work independently and take initiative while being part of a team
• Proven work ethic with a high level of integrity to build trust with our clients and colleagues
• Excited about joining an experienced team and contributing to the direction and growth of the company
• Experience with Pershing, Schwab and Fidelity's platforms preferred
• Familiarity with variable annuity and variable life products helpful
• Minimal travel may be required
• Ability to navigate and manage challenging decisions and conversations
• Desire to increase individual compliance and regulatory knowledge

About Integrity

Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.