Director Of Compliance

Integrity

Urbandale, IA, United States
Manage compliance and aml programs
Develop compliance training program
Lead annual audits and reviews
Manage and oversee compliance related functions for Brokers International Financial Services, LLC

Job Summary

  • Manage and oversee compliance related functions for Brokers International Financial Services, LLC.
  • Lead annual audits, reviews, and testing of compliance programs to identify any gaps and/or areas of improvement.
  • Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Matching Summary

Manage and oversee compliance related functions for Brokers International Financial Services, LLC.

Skills & Requirements

Must-have

  • Manage compliance and AML programs
  • Develop compliance training program
  • Lead annual audits and reviews
  • Oversee regulatory filings
  • Identify and mitigate regulatory risk

Nice-to-have

  • Collaborate with other departments
  • Promote compliance efforts
  • Monitor industry trends and best practices
  • Family-like environment
  • Hyper-growth company

Key Requirements

  • FINRA Series 7 and 24 required
  • Six to eight years related experience
  • Four-year college or university program
  • Financial Services Industry experience required
  • Broker Dealer and RIA experience preferred

Work Rights

Not specified

Tailored Resume

Cover Letter