Compliance Analyst, Supervision

Insurance Administrative Solutions, L.l.c.; Urbandale (IA); On-site; USD 90,000 - 130,000; Full time

Job summary

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.

Qualifications

• 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.
• Excellent interpersonal communication and teamwork skills; ability to work independently.

Responsibilities

• Identify, monitor, and escalate 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 to the Chief Compliance Officer (CCO) and maintain procedures and reference guides.
• Assist with compliance testing under SEC Rule 206(4)-7 and FINRA Rule 3120; support training materials for financial professionals.
• Monitor trading activity in representatives outside brokerage accounts and contribute to regulatory change management.

Skills

Interpersonal communication

Teamwork

Independent work

Attention to detail

Education

Bachelor's degree or equivalent

Tools

MS Office

Pershing

Schwab platforms

Fidelity platforms

Job description

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 escalate 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 guidesAssist 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 3120Assist with the development of compliance training and education materials for financial professionals and track completionMonitor and review trading activity in representatives outside brokerage accountsContribute to regulatory change management assignments and assist with compliance manual and policy updatesOther duties and projects as assignedDesired Skills and Experience:Bachelor’s degree or equivalent combination of education and relevant work experienceMinimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experienceActive FINRA SIE, Series 7 and Series 24 licenses required, Series 4 & 53 within 12 monthsCommitted to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamworkExcellent interpersonal communication skills, both written and verbalStrong 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 teamProven work ethic with a high level of integrity to build trust with our clients and colleaguesExcited about joining an experienced team and contributing to the direction and growth of the companyExperience with Pershing, Schwab and Fidelity’s platforms preferredFamiliarity with variable annuity and variable life products helpfulAbout IntegrityIntegrity 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. 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.