Compliance Branch Examiner
Compliance Branch Examiner
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Job Description
Job Title Compliance Branch Examiner
Business Unit Integrity Wealth
Location Urbandale IA
About Integrity Wealth
Integrity Marketing Group LLC (Integrity) a leading distributor of life and health insurance and provider of wealth management and retirement planning solutions today announced the official brand launch of Integrity Wealth. With more than $46 billion in assets under management and advisement and an extensive network of wealth advisors across all 50 states Integrity Wealth is already a strong and respected leader in the industry. The formal launch of the Integrity Wealth brand brings together Integritys formidable and diverse wealthfocused partner firms to more comprehensively work with the companys Life and Health divisions in delivering truly holistic life health and wealth solutions to millions of American consumers throughout their lifetime.
Integrity Wealth in combination with Integritys pillars of Life and Health brings transformative change to the industry as it empowers agents and advisors to access comprehensive capabilities within partner affiliates to expand integrated solutions. Consumers will benefit greatly as they gain access through their wealth advisors and insurance agents to more wideranging and crossfunctional guidance extensive products and effective planning solutions. This innovative integrated approach is designed to support the full range of financial wellbeing from health and life insurance to retirement and financial planning.
Job Summary
Our team is currently seeking a Compliance Branch Examiner to join our Compliance Department. This is an excellent opportunity to join a successful wellestablished company looking to grow to the next level. The Compliance Branch Examiner provide influential guidance and oversight of Branch Exams to Financial Professionals affiliated with the Broker Dealer. This position is responsible for administering Branch Exams to Financial Professionals independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.
Primary Responsibilities:
Conduct approximately 80 120 exams per year either onsite or remotely.
Prepare for each exam by generating and analyzing various reports spreadsheets and data points.
Schedule and discuss exam expectations with the branch personnel.
Review exam findings with OSJ and Satellite Branch Managers.
Send exam reports to OSJ CCO and Supervision and Compliance departments in a timely and effective manner.
Educate branch personnel Financial Professionals and support staff on various industry rules regulations and firm policies during the exam.
Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.
Primary Skills & Requirements:
3 years of experience in Compliance or Branch Examination. Experience with an Independent BrokerDealer is a plus.
Minimum of high school diploma or equivalent is required.
Must have a valid drivers license
FINRA Series 7 and 24 required. Candidates without proper licensing must obtain within 6 months of employment
FINRA Series 63 and/or 66 is preferred
Proficiency in MS Office.
Strong verbal and written communications skills required.
Travel up to 60
About Integrity
Integrity is one of the nations 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 familylike 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 youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hypergrowth 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. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visitIntegrity.
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.
About Integrity
Integrity is one of the nations 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 familylike 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 youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hypergrowth 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. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit Integrity.
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.
Employment Type
Full-Time
