Compliance Analyst - Surveillance

Job Title Compliance Analyst (Surveillance)

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 Analyst to join our Compliance Department and oversee Surveillance. This is an excellent opportunity to join a successful wellestablished company looking to grow to the next level. This Compliance Analyst plays an essential role in supporting various surveillance programs. As a key member of our compliance team the role will be crucial in ensuring our advisors and employees adhere to both firm policy and regulatory standards focusing on the areas of account and trade surveillance along with additional oversight of procedures and activities.

Primary Responsibilities:

• Conduct ongoing surveillance of firms representatives activities client accounts and transactions to ensure adherence to firm policy and regulatory standards.

• Properly document the review and disposition of exceptions as well as escalating matters appropriately.

• Identify compliance risks and collaborate with appropriate internal and external stakeholders to develop action plans and achieve risk mitigation and/or issue resolution.

• Lead and perform targeted reviews and/or analysis and present findings to the appropriate stakeholders.

• Assist with the design and implementation of new surveillance systems and programs and adjustments to the existing clients.

• Analyze trade and account alerts and escalate findings as necessary. Examine exception reports to identify any trends and patterns or risk areas.

Primary Skills & Requirements:

• 2 years of experience in Compliance or functions of a financial services firm/regulator.

• Experience with an Independent BrokerDealer is a plus.

• Effective research analytical and investigative skills

• 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 10

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.