What are the responsibilities and job description for the Compliance Analyst - Supervision position at Integrity Marketing Group?
Job Title – Compliance Analyst (Supervision)
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 Integrity’s formidable and diverse wealth-focused partner firms to more comprehensively work with the company’s 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 Integrity’s 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 wide-ranging and cross-functional guidance, extensive products and effective planning solutions. This innovative integrated approach is designed to support the full range of financial well-being — 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 Supervision. This is an excellent opportunity to join a successful, well-established company looking to grow to the next level. This Compliance Analyst plays a pivotal role in ensuring the firm’s representatives adherence to procedures and industry standards. In this important role, the Compliance Analyst is responsible for supervision of assigned representatives and their offices, maintaining relationships, and assist with a variety of compliance related matters.
Primary Responsibilities:
First-line ongoing supervision of assigned representatives by reviewing a variety of communication, correspondence, business activities and reports.
Assist with gathering data to assist responses to regulatory inquiries.
Identify sales practice red flags. Investigate, resolve and document findings and outcomes.
Partner with compliance on identified surveillance and testing findings to enhance supervision.
Assist in drafting and implementing of new procedures and supervisory processes.
Servies as compliance liaison to identify trends and topics for ongoing supervisor education of representatives and their staff. Ensure supervised adherence to firm procedures and regulatory standards.
Collaborate on compliance projects to strengthen the program for supervision and escalation of issues to leadership.
Primary Skills & Requirements:
3 years of related experience in Compliance or Financial Services. Experience with a Broker-Dealer is a plus.
Minimum of high school diploma or equivalent is required.
Proficiency in compliance management software such as Paradigm 3 or Intellect Compliance.
Understanding of SEC, FINRA, MSRB and state securities regulations.
Must have a valid driver’s license
FINRA Series 7 and 24 required.
FINRA Series 66/65 preferred. Licensing required within 6 months of employment.
FINRA Series 4 and 53, and state licenses for life, health, and variable annuity may be required.
Proficiency in MS Office.
Strong verbal and written communications skills required.
Travel up to 10%
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.
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.
