Regulatory Compliance Officer
6 days ago
We are seeking a highly skilled Legal Officer to join our team at Integrity Marketing Shared Services Center. As a key member of our organization, you will be responsible for managing regulatory compliance, enterprise risk management, and aligning regulatory, compliance, and risk mitigation strategies to company-wide objectives.
Key Responsibilities:- Manage regulatory compliance, enterprise risk management, and align regulatory, compliance, and risk mitigation strategies to company-wide objectives.
- Suggest innovative business solutions, mitigate risk, and ensure legal efficiency for Integrity Wealth.
- Build up an effective framework for robust risk and regulatory compliance oversight.
- Manage legal, risk, and compliance matters in collaboration with the parent company's legal team and the Integrity executives.
- Oversee regulatory or internal audits at Integrity Wealth, ongoing and required regulatory filings, and compliance-related matters.
- Manage the Chief Compliance Officers of the various Integrity Wealth business units and work collaboratively with them to create and enforce a robust regulatory, compliance, and risk systems, processes, and procedures.
- Ensure compliance with SEC regulations, stay advised regarding relevant compliance risks, and provide regular reporting on them to executive management.
- Assess and mitigate risks for Integrity Wealth in evolving regulatory platforms and compliance for compliance with applicable rules, regulations, and policies.
- Recommend workable action plans to identify and correct material compliance issues.
- Coordinate and manage compliance officers in connection with examinations of Integrity Wealth companies and compliance inquiries.
- Thorough knowledge of regulatory requirements and governance for broker-dealers and registered investment advisors, including securities laws and regulations and the Municipal Securities Rulemaking Board.
- Have the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 4, 7, 14, 24, 53, 63, and 65 (or Series 66).
- A strong understanding of the risks related to broker-dealer and registered investment potential compliance challenges and develop actions plans to respond to them.
Integrity Marketing Shared Services Center is one of the nation's leading independent distributors of life, health, and wealth insurance products. We're driven by a singular purpose: to help people protect their life, health, and wealth so they can prepare for the good days ahead. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily.
We're committed to meeting Americans wherever they are — in person, over the phone, or online. 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.
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