Chief Compliance Officer

Job summary:

Step into the pivotal role of Chief Compliance Officer at Integrity Wealth Registered Investment Adviser. Join a dynamic team that oversees multiple SEC-registered firms with a robust $5 billion in assets under management. As the driving force behind our compliance and risk management framework, you are the Chief Compliance Officer to shape the future of our regulatory landscape. You'll lead the charge in navigating regulatory examinations, internal audits, and interfacing with key governmental officials.

Let’s talk job responsibilities:

• Strategic Compliance Leadership: As CCO you will be responsible for overseeing risk and compliance for our high-performing RIA entities, i.e., Gladstone.
• Policy Innovation: Design and refine policies and procedures in response to regulatory changes and evolving business needs.
• Comprehensive Policy Review: Conduct thorough annual reviews to ensure the effectiveness of our compliance framework as mandated by Rule 206(4)-7.
• Risk Analysis: Lead and collaborate with other department executives for annual risk assessments, identifying trends and crafting strategic remediation plans.
• Regulatory Mastery: Manage all facets of FINRA and IARD regulatory filings (Forms ADV, 13F, 13h, U-4, etc.).
• Regulatory Engagement: Navigate regulatory inquiries, examinations, and internal audits.
• Ethics Administration: Oversee the Investment Adviser Code of Ethics in line with Rule 204A-1.
• Best Execution Analysis: Lead the review of best execution practices.
• Vendor Partnerships: Innovate with vendors to enhance compliance systems, addressing the firm’s evolving needs.
• System Integration: Spearhead the implementation and ongoing maintenance of compliance systems, ensuring seamless integration across departments.
• Due Diligence: Scrutinize due diligence documentation for vendors, custodians, product sponsors, and independent portfolio managers.
• Training & Development: Develop and deliver engaging training programs on regulatory and compliance issues for new and existing team members.
• Branch Oversight: Oversee and conduct thorough examinations of branch offices to ensure compliance standards are upheld.
• Documentation Excellence: Draft and update Form ADV 2B Brochure Supplements for our investment adviser representatives.
• Governance: Lead and serve on various governance committees.

Your experience and skills:

• Have the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 7, 24, 63 and 65 (or Series 66).
• A strong understanding and working knowledge of the Investment Advisor’s Act of 1940.
• A strong knowledge of retail brokerage, annuity, and alternative products, as well as prudent investor standards.
• Excellent writing and communication skills.
• The ability to stay informed of the evolving regulatory and financial landscape.
• A strong understanding of the risks related to registered investment advisors and how those relate to and potentially impact the firm with the ability to analyze potential compliance challenges and develop action plans to respond to them.
• Excellent judgment and time management.
• Ability to work in a time-sensitive environment and make quick decisions.

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 a 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. For more information, visit Integrity.com.

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.