Legal Officer of Regulatory Compliance and Risk Management

19 hours ago

Dallas, Texas, United States Integrity Marketing Shared Services Center Full time
About Integrity

Integrity is a leading distributor of life and health insurance, and provider of innovative solutions for wealth management and retirement planning. With a strong focus on insurtech, we offer a broad and innovative approach to serving agents and clients alike. Our mission is to help people protect their life, health and wealth so they can prepare for the good days ahead.

Job Summary

We are seeking a seasoned Legal Officer of Regulatory Compliance and Risk Management to join our team. As a member of our executive management team, you will serve as the Chief Compliance Officer for Integrity Wealth and manage regulatory compliance, enterprise risk management, and align regulatory, compliance and risk mitigation strategies to company-wide objectives. You will also suggest innovative business solutions, mitigate risk, and ensure legal efficiency for Integrity Wealth.

Key Responsibilities
  • Serve as the Chief Compliance Officer of Integrity Wealth, managing the risk and compliance elements across the entire Integrity Wealth enterprise, and managing and cooperating with the individual compliance officers at each registered entity.
  • Build up an effective and robust compliance and enterprise risk management function for Integrity Wealth and ensure that systems, processes and procedures are in place to proactively identify, assess, and manage legal risks facing the organization.
  • Manage litigation and other disputes involving the organization, including coordinating with inside and outside counsel as necessary.
  • Build up and lead a team of Compliance, Risk and Legal Professionals, including the existing Compliance Officers, to effectively support the Integrity Wealth business.
  • Be a team player, and effectively lead and partner with all of the Integrity Wealth business leaders, compliance officers, and members of the parent company's legal team.
  • Oversee the overall compliance program for Integrity Wealth and manage all regulatory filings in connection with the individual compliance officers.
  • Ensure compliance by the Integrity Wealth companies with SEC regulations, FINRA requirements, state laws and regulations and other federal statutes.
  • Stay advised regarding relevant compliance risks and provide regular reporting on them to executive management.
  • Manage day-to-day compliance risk strategy for Integrity Wealth.
  • Assess and mitigate risks for Integrity Wealth.
  • Advise the business regarding evolving regulatory requirements and industry changes.
  • Leverage technology platforms for compliance oversight and to monitor, evaluate and test for compliance with applicable rules, regulations, and policies.
  • Recommend workable action plans to identify and correct material compliance weaknesses.
  • Coordinate and manage compliance officers in connection with examinations of Integrity Wealth companies.
  • Respond to compliance inquiries and requests including from regulatory authorities.
Requirements
  • Thorough knowledge of regulatory requirements and governance for broker-dealers and registered investment advisors, including with respect to 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 and working knowledge of FINRA Rules.
  • 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.
  • Leadership, excellent writing and communication skills and the ability to identify, initiate and conclude strategic objectives in a collaborative, team-based environment.
  • The ability to stay abreast of the evolving regulatory and financial landscape.
  • A strong understanding of the risks related to broker-dealer and 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.

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