Chief Compliance Officer

Job Summary:

Integrity Wealth, an organization comprising multiple SEC and FINRA registered entities with over $50 billion in combined assets under management, seeks a skilled Chief Compliance Officer (CCO) to join its compliance team. In this role, the CCO will lead compliance efforts for an Integrity Wealth registered entity, reporting directly to the company’s Enterprise CCO. Successful applicants should have experience navigating regulatory examinations, internal audits, and interfacing with regulatory agencies.

Responsibilities:

• Implement and maintain a comprehensive compliance program for a securities registered affiliate of Integrity Wealth to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance.
• Provide compliance and regulatory advice / guidance and serve as a subject matter expert across the organization concerning broker-dealer and RIA and entities.
• Identify and prioritize compliance and regulatory risk, as well as identify challenges for the organization, and provide pragmatic solutions and strategic direction to remain compliant.
• Develop and implement policies and procedures, including monitoring and addressing regulatory and industry changes, and potential impact to the organization’s compliance obligations, as well as adapting to the evolving business needs.
• Develop and conduct training, especially as new rules and regulations are established to stay knowledgeable on all relevant compliance topics.
• Administer Code of Ethics and ensure compliance issues are addressed appropriately.
• Liaise closely with business and Compliance and Legal to manage uniform polices and procedures and mitigate conflicts of interest.
• Coordinate internal audits, and federal and state regulatory exams, inquiries, and investigations, as well as various regulatory filings.
• Work closely with senior leaders, including attend / participate as a member in various business meetings and committees to provide guidance to the business with respect to day-to-day processes and big picture strategy to ensure compliance with all relevant regulatory requirements and responsibilities, to avoid compliance and reputational issues, and prevent violations which could harm investors.
• Lead and collaborate with other department executives for annual risk assessments, identifying trends and crafting strategic remediation plans.
• Spearhead the implementation and ongoing maintenance of compliance systems, ensuring seamless integration across departments.
• Lead the review of best execution practices.
• Scrutinize due diligence documentation for vendors, custodians, product sponsors, and independent portfolio managers.
• Oversee and conduct thorough examinations of branch offices to ensure compliance standards are upheld.
• Contribute to other compliance, business, and organization special projects to ensure objectives are achieved.
• Partner effectively and work closely with other Compliance and Operational teams.
• Perform such other duties or responsibilities related to the RIA Compliance function as determined by the Enterprise CCO.

Skills and Qualifications:

• 10+ years of compliance experience in financial services industry, including building and working with an investment advisory program.
• Solid understanding of the Investment Advisors Act of 1940, and related securities laws and regulations.
• Securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list):  7, 24, 63 and 65 (or Series 66).
• Excellent writing and communication skills.
• Experience conducting thorough annual reviews to ensure the effectiveness of an organization’s compliance framework as mandated by Rule 206(4)-7.
• Experience in implementing and/or maintaining a risk-based compliance program for a growing RIA including testing, monitoring, risk assessment and reporting.
• Proven track record of leadership, strategic thinking, building positive relationships and successful collaboration with business partners.
• Ability to multi-task, analyze complex situation and provide guidance in time sensitive situations.
• Ability to work independently as a member of a team, which includes the ability to be flexible and adaptable in a changing environment
• Excellent organization, analytical and communication skills.
• Strong interpersonal skills; must be a team player.
• Strong work ethic and professionalism, including ability to maintain a high degree of confidentiality
• Bachelor’s Degree

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’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.