Regulatory Manager

Urbandale, IA - USA

Monthly Salary: Not Disclosed

Posted on: 7 hours ago

Vacancies: 1 Vacancy

Job Summary

Role Summary

Integrity Alliance is a dualregistrant FINRA member brokerdealer and SEC-registered investment adviser with a multistate footprint. The Regulatory Manager will own day-to-day execution of our regulatory program across the BD and RIA including state registrations and licensing FINRA/SEC/State exams customer complaints and regulatory filings. This role is ideal for a pragmatic compliance professional who can translate regulatory expectations into practical controls maintain examready books and records and drive timely auditable outcomes.

Key Responsibilities

1) Exams & Regulatory Engagement (FINRA SEC States)

Lead endtoend management of FINRA SEC and State examinations and inquiries from readiness assessments and document production to interviews and closeout.
Work closely with the CCOs and assist in drafting and managing responses to exam requests deficiency letters and remediation plans; track commitments to verified closure with evidence.
Maintain an exam readiness program (mock exams artifacts library controls testing response playbooks).

2) State Registration & Licensing Administration

Work with the licensing and registration department to ensure firm and individual registrations via CRD/IARD (Form BD Form ADV U4/U5 BR) including jurisdiction changes branch registrations notice filings and annual renewals.
Assist with the management of Continuing Education (Firm Element & Regulatory Element) exam windows disclosure updates fingerprinting and state-specific requirements.
Assist CCOs in keeping the WSPs Compliance Manual and Code of Ethics current to reflect state variances and new/updated rules.

3) Customer Complaints & Regulatory Reporting

Own the lifecycle for customer complaints across BD and RIA channels: intake triage investigation resolution and root cause analysis.
Ensure timely regulatory reporting by working with the licensing and registration department (e.g. FINRA Rule 4530 events and complaints state notifications U4/U5 updates) by working with the licensing and registration department
Coordinate client communications and restitution where applicable; maintain complete books & records and regular management reporting.

4) Regulatory Filings & Periodic Disclosures

Prepare and file:
- Form ADV (annual amendment & interim updates) Form CRS
- Form BD and amendments
- FINRA Rule 4530 reports; OBA/Private Securities Transactions oversight and reporting
- State-mandated submissions (e.g. financials custody attestations policies acknowledgments as applicable)
- Support AML independent test documentation and related certifications
Maintain an integrated compliance calendar with owners deadlines and evidencing requirements.

5) Program Governance Testing & Certifications

Lead annual reviews: SEC Rule 206(4)-7 (RIA) and FINRA 3120/3130 (BD) including risk assessment control testing effectiveness reviews and CEO/CCO certifications.
Monitor and operationalize requirements across Reg BI Form CRS Marketing Rule (206(4)-1) Books & Records (17a4; 2042) Privacy (Reg SP) Gifts & Entertainment Outside Business Activities Personal Trading Best Execution and Custody (if applicable).
Develop and maintain metrics/KRIs and dashboarding for leadership (e.g. filing timeliness complaint cycle times marketing exceptions surveillance alerts).

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:

Manager

Role SummaryIntegrity Alliance is a dualregistrant FINRA member brokerdealer and SEC-registered investment adviser with a multistate footprint. The Regulatory Manager will own day-to-day execution of our regulatory program across the BD and RIA including state registrations and licensing FINRA/SEC/S...