Compliance Officer

Integrity; Scottsdale (AZ); On-site; USD 70,000 - 90,000; Full time

Job summary

Integrity is seeking a Compliance Officer to enhance their compliance program within the wholesale broker dealer model. The role emphasizes collaboration with senior leadership to ensure regulatory adherence, oversee compliance testing, and manage regulatory examinations.

The ideal candidate has active FINRA registrations and a minimum of 2 years’ compliance experience. They should be skilled in project management, possess excellent communication abilities, and be passionate about building a strong compliance culture.

Qualifications

• Active FINRA registrations: SIE and either Series 6 or 7 required.
• Minimum 2 years’ experience within a broker-dealer compliance program.
• Demonstrated ability to influence change and partner effectively.

Responsibilities

• Support the administration and enhancement of the firm’s compliance program.
• Assist in the development of written supervisory procedures (WSPs).
• Provide guidance on regulatory requirements for wholesale activities.

Skills

Influencing change

Organizational skills

Strong communication

Analytical skills

Tools

Microsoft products

Job description

The Compliance Officer, working under the direction of the Chief Compliance Office, supports the design, implementation, and ongoing oversight of the firm’s compliance program within a wholesale broker dealer model. This role partners closely with senior leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervisory processes across the organization, and support business activities conducted with registered financial professionals and institutional intermediaries. The Compliance Officer plays a key role in advising the business on compliance considerations specific to a wholesale environment, including maintaining boundaries between wholesale and retail activities, and helps ensure the firm’s supervisory framework remains effective, risk focused, and aligned with regulatory expectations. The individual serves as a strategic partner, influencing change, navigating complexity, and approaching challenges with a solutions oriented mindset while remaining calm under pressure and guiding the firm through evolving regulatory demands.

Key Responsibilities

• Support the administration and continuous enhancement of the firm’s compliance program
• Assist in the development, implementation, and maintenance of written supervisory procedures (WSPs)
• Provide guidance to business partners on regulatory requirements, with a focus on wholesale distribution activities
• Help monitor and enforce appropriate wholesale boundaries to mitigate retail related regulatory risk
• Participate in compliance testing, monitoring, and internal reviews
• Oversee or support sales and advertising review in accordance with applicable regulatory standards
• Coordinate responses to regulatory inquiries and assist in communications with regulators
• Support regulatory filings, including applicable FINRA forms and disclosures
• Assist in the coordination and management of regulatory examinations and audits
• Oversee licensing and registration processes for registered representatives
• Assist in supervising and developing members of the compliance team
• Lead or participate in enterprise wide initiatives and cross functional projects
• Take ownership of large, complex projects and drive execution from planning through completion
• Support training and communication initiatives to reinforce a culture of compliance
• Monitor regulatory developments (federal, state, and SRO regulations) and assist in evaluating and implementing updates impacting the firm and its business

Job Requirements

• Active FINRA registrations: SIE and either Series 6 or 7 required
• Either Series 26 or 24 required (or ability to obtain within 6 months of hire)
• Series 14 preferred (or ability to obtain within 6 months of hire)
• Life and Annuity Insurance license preferred
• Minimum 2 years’ experience within a broker-dealer compliance program; wholesale or distribution focused experience preferred
• Demonstrated ability to influence change and partner effectively with business leaders
• Proven ability to organize, prioritize, and execute on large scale projects
• Passion for building and enhancing a culture of compliance
• Proven ability to remain composed under pressure and navigate complex, fast moving situations
• Solutions oriented mindset with the ability to balance business objectives and regulatory requirements (not a "no first" approach)
• Strong understanding of broker-dealer and agency regulatory frameworks and supervisory practices
• Excellent judgement, communication, presentation, and analytical skills
• Strong communication, presentation, and analytical skills – proficient in Microsoft products
• Organized with the ability to handle multiple tasks and multiple priorities simultaneously
• Ability to work independently and communicate results

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.