Director of Risk and Compliance

21 hours ago


Dallas, United States Integrity Marketing Group LLC Full time
About Gladstone Wealth Partners

Our mission to our clients is to provide a holistic approach to financial planning and a high level of service so they can prioritize and pursue their life-long financial goals. We foster professional relationships based on uncompromising integrity, trust and personalized service.

Job Summary

Step into the pivotal role of Director of Risk and Compliance at Integrity Wealth Registered Investment Adviser. Join a dynamic team that oversees multiple SEC-registered firms with a robust $5 billion in assets under management. As the driving force behind our compliance and risk management framework, you'll work closely with the Chief Compliance Officer to shape the future of our regulatory landscape. You'll lead the charge in navigating regulatory examinations, internal audits, and interfacing with key governmental officials-all while enjoying the flexibility of a remote position.

Primary Responsibilities:
  • Strategic Compliance Leadership: Partner with the CCO to oversee risk and compliance for our high-performing RIA entities.
  • Policy Innovation: Design and refine cutting-edge policies and procedures in response to regulatory changes and evolving business needs.
  • Comprehensive Policy Review: Conduct thorough annual reviews to ensure the effectiveness of our compliance framework as mandated by Rule 206(4)-7.
  • Risk Analysis: Collaborate on annual risk assessments, identifying trends and crafting strategic remediation plans.
  • Regulatory Mastery: Manage all facets of FINRA and IARD regulatory filings (Forms ADV, 13F, 13h, U-4, etc.).
  • Regulatory Engagement: Assist the CCO in navigating regulatory inquiries, examinations, and internal audits.
  • Ethics Administration: Oversee the Investment Adviser Code of Ethics in line with Rule 204A-1.
  • Best Execution Analysis: Lead the annual review of best execution practices.
  • Vendor Partnerships: Innovate with vendors to enhance compliance systems, addressing the firm's evolving needs.
  • System Integration: Spearhead the implementation and ongoing maintenance of compliance systems, ensuring seamless integration across departments.
  • Due Diligence: Scrutinize due diligence documentation for vendors, custodians, product sponsors, and independent portfolio managers.
  • Training & Development: Develop and deliver engaging training programs on regulatory and compliance issues for new and existing team members.
  • Branch Oversight: Conduct thorough examinations of branch offices to ensure compliance standards are upheld.
  • Documentation Excellence: Draft and update Form ADV 2B Brochure Supplements for our investment adviser representatives.
Primary Skills and Requirements:
  • Have the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 4, 7, 24, 53, 63 and 65 (or Series 66).
  • A strong understanding and working knowledge of the Investment Advisor's Act of 1940.
  • A strong knowledge of retail brokerage, annuity, and alternative products, as well as prudent investor standards.
  • Excellent writing and communication skills.
  • The ability to stay informed of the evolving regulatory and financial landscape.
  • A strong understanding of the risks related to registered investment advisors and how those relate to and potentially impact the firm with the ability to analyze potential compliance challenges and develop actions plans to respond to them.
  • Excellent judgment and time management.
  • Ability to work in a time sensitive environment and make quick decisions.


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.

  • Dallas, Texas, United States Disability Solutions Full time

    About the Role:The Director of Compliance and Risk Management will play a critical role in ensuring the organization's compliance with regulatory requirements and identifying potential risks. This role requires a strong understanding of financial services regulations and the ability to develop effective risk management strategies.Key Responsibilities:Develop...


  • Dallas, United States GuideStone Financial Resources Full time

    Experience GuideStone!We are an innovative organization that invests in the spiritual, relational, financial, physical and professional development of our employees. We have a culture that values excellence, teamwork, humility, integrity, compassion and stewardship.What We Offer You!We offer employees a generous benefits package, flexible work schedules, the...


  • Dallas, United States ADDICTION AND MENTAL Full time

    Director of Risk Management / Quality ImprovementALTERNATE TITLE: DEPARTMENT: Risk Management JOB CODE: REPORTS TO: CEO POSITION TYPE: Non-Direct Care FLSA STATUS: Exempt PURPOSE STATEMENT: Plan, organize, direct and control all aspects of risk management activities. Ensure a safe environment for the protection of patients, clients, employees and visitors...


  • Dallas, United States Clinical Management Consultants Full time

    One of Texas's top hospitals is seeking a highly skilled and experienced RN Director Quality and Risk to lead all of their quality management activities.In this role, the RN Director Quality and Risk will oversee patient care and relations, regulatory compliance, risk management, performance improvement, safety, and infection control. You will collaborate...


  • Dallas, Texas, United States Dudas IT Resources & Advisory Inc Full time

    Job DescriptionWe are looking for an experienced IT Compliance and Risk Manager to join our team. In this role, you will be responsible for managing and mitigating risks associated with our IT systems and infrastructure.The ideal candidate will have 7+ years of experience in the financial services industry, with a strong background in audit, risk,...

  • Director Technology

    4 weeks ago


    Dallas, United States Comerica Full time

    Technology and Cybersecurity Risk DirectorSkills, Experience, Qualifications, If you have the right match for this opportunity, then make sure to apply today.The Technology & Cyber Risk Director is responsible for providing oversight, guidance, and independent challenge to the first line of defense regarding the management of technology and cyber risks. This...


  • Dallas, United States 12 Oaks Senior Living Full time

    The Director of Quality and Compliance RN will maintain a high level of compliance and quality assurance, ensuring regulatory, customer, and owner confidence in services and risk management. This role assesses and promotes adherence to state and federal regulations, ensuring the quality of resident care and services.Making sure you fit the guidelines as an...

  • Insurance Risk

    20 hours ago


    Dallas, United States Axis Energy Administration Full time

    Description The Insurance Risk & Compliance Manager ensures that the organization conducts its business processes in compliance with laws and regulations, professional standards, and accepted business practices and is responsible for managing the risk insurance programs that ensure that our company remains fully compliant with relevant local, state, and...


  • Dallas, United States CrossCountry Consulting Full time

    From the beginning, our goal was to establish an advisory firm that stands apart from the rest - one that is grounded in our Core Values and dedicated to creating a positive experience not just for our clients, but for our people too. We firmly believe in the strength of collaboration, enthusiasm, generosity, and perseverance as the driving forces behind our...


  • Dallas, United States Cross Country Consulting Full time

    From the beginning, our goal was to establish an advisory firm that stands apart from the rest – one that is grounded in our Core Values and dedicated to creating a positive experience not just for our clients, but for our people too. We firmly believe in the strength of collaboration, enthusiasm, generosity, and perseverance as the driving forces behind...


  • Dallas, Texas, United States Novatae Risk Group Full time

    Job OverviewNovatae Risk Group is seeking a highly motivated Insurance Portfolio Executive to join our team. In this role, you will manage a portfolio of clients, focusing on relationship building and client account development. This position is based in our Dallas office.Job DescriptionThe successful candidate will have a Property & Casualty license and a...


  • Dallas, United States KPMG Full time

    Historically, the travel requirement for this position has ranged from 80-100%. The safety and well-being of our people continues to be the top priority, and our decisions around travel are informed by government COVID-19 response directives, recommendations from leading health authorities, and guidance from a number of infectious disease experts. For now,...


  • Dallas, United States Underground Administration Full time

    Quantitative Risk Associate Director Our client, a leading financial institution, is seeking a Quantitative Risk Associate Director to join their dynamic team in Dallas, Washington D.C., Jersey City, Boston or Tampa. Salary: Up to $185,000 base with a 40% annual bonus potential Key Responsibilities: - Design, develop, test, and maintain in-house fixed income...


  • Dallas, TX, United States Scottish Rite for Children Full time

    Cyber Security Governance Risk and Compliance Manager Location: Dallas - Shared Services Additional Posting Details: M-F 8-5A Job Description: Duties/Responsibilities Develop and maintain the organization's cyber governance, risk and compliance strategy, framework, and roadmap, and ensure alignment with the organization's vision, mission, values, and...


  • Dallas, Texas, United States Risk Theory, LLC Full time

    Role SummaryWe are looking for a Risk Management Expert to handle first-party Garage Claims for Auto Dealerships and apartment complexes. This role involves managing claims from the first notice of loss through resolution/settlement and payment process, ensuring quality claim handling throughout the claim life cycle while maintaining compliance with internal...

  • Associate Director

    2 weeks ago


    Dallas, United States CrossCountry Full time

    From the beginning, our goal was to establish an advisory firm that stands apart from the rest – one that is grounded in our Core Values and dedicated to creating a positive experience not just for our clients, but for our people too. We firmly believe in the strength of collaboration, enthusiasm, generosity, and perseverance as the driving forces behind...


  • Dallas, Texas, United States Jeff Harris and Associates Full time

    Job Description: We are currently seeking a highly experienced Operational Resilience Manager to join our team. The successful candidate will be responsible for leading the development and implementation of disaster recovery strategies and solutions.About the Company:Jeff Harris and Associates is a dynamic organization committed to resilience and operational...


  • Dallas, Texas, United States Echelon Risk + Cyber Full time

    We are committed to creating a secure environment at Echelon Risk + Cyber. As a Senior Security Engineer, you will play a vital role in shaping our security policies and procedures.Job DescriptionCompany Overview: Echelon Risk + Cyber is a leading cybersecurity consulting firm dedicated to defending human rights to security and privacy.About the Role: We...

  • Compliance Director

    4 weeks ago


    Dallas, TX, United States Westlake Services, LLC Full time

    Covered Care | Corporate Office Dallas, TX, USA Operational: Develops, initiates, maintains, and revises policies and procedures for the general operation of the organization’s compliance program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program. Investigates and resolves compliance...


  • Dallas, United States The Beck Group Full time

    Who we are We're The Beck Group, the largest and most innovative integrated building firm in the country. We are focused on delivering design and construction excellence on a broad range of project types. Headquartered in downtown Dallas, with offices in Atlanta, Austin, Charlotte, Denver, Fort Lauderdale, Fort Worth, Mexico City, and Tampa, we believe a...