Senior Compliance Supervisor – Broker-Dealer

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

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