Director of Compliance
Director of Compliance
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
This position will work directly with the Chief Compliance Officer (CCO)/ Chief Operating Officer (COO) and will manage and oversee compliance related functions for Brokers International Financial Services LLC. The Director will direct programs policies and practices to ensure that all business units are in compliance with rules and regulations and tracks changes in regulations that might affect the organizations policies and implements necessary changes.
Essential Job Functions
- Assist CCO in development and maintenance of firm policies procedures and guidelines. Manage day-to-day operation of the firms compliance and AML programs.
- Contribute to the development of an effective compliance training program including appropriate introductory training for new employees and registered representatives as well as ongoing training.
- Manage a team of compliance professionals including supervision task assignment training evaluation coaching and employee development.
- Lead annual audits reviews and testing of compliance programs to identify any gaps and/or areas of improvement.
- Assist in the preparation of responses to regulatory inquiries and examinations and customer complaints. Assist with internal reviews investigations and disciplinary process of supervised persons. Oversee regulatory filings for the organizations entities.
- Proactively review business activities to identify potential regulatory compliance and reputational risk. Develop/initiate corrective action for the identified risks.
- Provide regulatory and compliance guidance to business on ongoing basis. Partner with other departments to collaborate and promote compliance efforts. Participate in organization committees on behalf of compliance.
- Monitor and evaluate industry trends regulatory changes and best practices and make recommendations for improvements to internal processes and procedures.
- Other duties as assigned.
- Travel up to 10%.
Knowledge Skills and Abilities
- Must display Core Values
Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes.
Thorough understanding of rules regulations and legal requirements of the SEC FINRA MSRB AML and state securities regulators.
Proficiency with examination principles and practices for the securities industry.
Must be able to learn use of internal and third-party systems.
Ability to identify weigh and convey potential risks.
Ability to communicate effectively with all levels of management.
Ability to develop and implement effective strategies and short/long term planning.
Maintains high standards of confidentiality of all information.
Experience and Education
- Financial Services Industry experience required. Prior Broker Dealer and RIA experience preferred. Product knowledge in variable life variable annuities mutual funds managed accounts financial planning and securities a plus.
- Four-year college or university program and six to eight years related experience and/or training; or equivalent combination of education and experience.
- FINRA Series 7 and 24 required Series 66 Series 65 Series 53 and Series 4 preferred or required within 6 months; Insurance and state securities license(s) in state(s) of operation for life health and variable annuity may be required.
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 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 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 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. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit .
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 addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.
Required Experience:
Director
Employment Type
Full-Time
