What are the responsibilities and job description for the Compliance Supervisor position at Integrity Marketing Group?
Job Summary:
The Compliance Supervisor will oversee and support approximately 125 investment advisor representatives of an SEC registered hybrid RIA with approximately $6 billion of assets under management.
Responsibilities:
- Conduct supervisory reviews and related follow-up, including but not limited to reviewing new accounts, transaction suitability, correspondence, and system-based advisory alerts
- Provide consultative support and education to Advisers, helping them understand the why behind processes and provide solutions to compliance challenges.
- Collaborate with operations and adviser support teams to optimize operational processes and integrate supervisory systems.
- Lead investigations of questionable sales activity and work with the CCO on resolution
- Report investigation results, escalations, and emerging risks involving advisors or branch locations to senior management
- Manage registration filings (e.g., U4, ADV, 13F, N-PX, 13H)
- Maintain awareness of industry compliance and supervisory trends and best practices.
- Perform other duties related to the RIA Compliance function as determined by the CCO.
Minimum Qualifications:
- Undergraduate degree
- 6 years of securities supervisory experience
- FINRA Registrations, including Series 7; S63 & S65 (or S66); S24 and a clean U4
- Knowledge of financial products including general securities, mutual funds, annuities, and alternative investments.
- Willingness to work in a fast paced/high volume environment and be flexible with work schedule
- Excellent time management, problem solving, prioritization, and communication skills
Preferred Skills:
- Experience implementing and enhancing supervisory systems
- Experience with LPL’s ClientWorks system
- Microsoft Excel, Word, Access and PowerPoint
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.
