Senior Compliance Analyst – Financial Services Supervision

Insurance Administrative Solutions, L.l.c.

Urbandale, Northern (IA, KY)

Hybrid

USD 85,000 - 110,000

Full time

14 days+

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Job summary

Integrity is seeking a Compliance Analyst - Supervision to oversee all activities of registered representatives and investment adviser representatives in Urbandale, Iowa. This role will be a cross-functional part of a team building a differentiated model in financial services.

You will review communications, monitor trading activity, and provide supervision reports to the CCO. The role includes developing procedures, supporting compliance testing, and creating training materials for

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.
Committed to accountability, multitasking, and teamwork.
Excellent written and verbal communication; strong interpersonal skills.
Experience with Pershing, Schwab and Fidelity platforms preferred.

Responsibilities

Identify, monitor, and elevate 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.