Compliance, Analyst Supervision

Integrity; Des Moines (IA); On-site; USD 75,000 - 110,000; Full time

Job summary

Integrity is seeking a Compliance Analyst - Supervision in Urbandale, IA to supervise registered reps and investment adviser representatives, serving as a home office contact. This role is a ground floor opportunity with a dynamic firm and experienced leadership, focusing on a cross-functional approach to a differentiated model in financial services.

The ideal candidate will have 5+ years in broker-dealer/ar compliance, active FINRA SIE, Series 7, Series 24 licenses (Series 4/53 within 12

Qualifications

• Bachelor's degree or equivalent combination of education and relevant work experience.
• Minimum of 5 years of broker-dealer and investment adviser supervision or compliance experience.
• Active FINRA SIE, Series 7 and Series 24 licenses required; Series 4 & 53 within 12 months.
• Strong communication skills, both written and verbal.
• Strong MS Office skills (Word, Excel, PowerPoint, Outlook).
• Ability to work independently and as part of a team.
• High integrity and trust with clients and colleagues.
• Experience with Pershing, Schwab and Fidelity platform familiarity.
• Familiarity with variable annuity and variable life products helpful.

Responsibilities

• Identify, monitor, and upscale potential sales practice concerns and high-risk activities.
• Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity.
• Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
• Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides.
• Assist with Investment Adviser and Broker Dealer compliance testing per SEC Rule 206(4)-7 and FINRA Rule 3120.
• Assist with development of compliance training and education materials for financial professionals.
• Monitor and review trading activity in representatives outside brokerage accounts.
• Contribute to regulatory change management and assist with policy updates.
• Perform other duties and projects as assigned.

Skills

FINRA SIE

Series 7

Series 24

Series 4

Series 53

MS Office

Communication

Independence

Teamwork

Education

Bachelor's degree or equivalent

Tools

Pershing

Schwab

Fidelity

Job description

Responsibilities

We are seeking a Compliance Analyst - Supervision responsible for supervising all activities of registered representatives and investment advisor representatives and serving as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry. The following are the primary responsibilities for this role based in Urbandale, Iowa:

• Identify, monitor, and upscale potential sales practice concerns, conflicts of interest, and other high-risk activities.
• Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity.
• Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
• Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
• Assist with Investment Adviser 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 of compliance training and education materials for financial professionals and track completion
• Monitor and review trading activity in representatives outside brokerage accounts
• Contribute to regulatory change management assignments and assist with compliance manual and policy updates
• Other duties and projects as assigned

Desired Skills And Experience

• Bachelor's degree or equivalent combination of education and relevant work experience
• Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience
• Active FINRA SIE, Series 7 and Series 24 licenses required, Series 4 & 53 within 12 months
• Committed to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamwork
• Excellent interpersonal communication skills, both written and verbal
• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
• 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

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 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.