Broker dealer and registered investment adviser environments
Sec, finra, msrb, and state securities requirements
Investment advisers act of 1940
This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities
Job Summary
This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities.
The executive will drive compliance oversight, guide regulatory and risk strategy; interface directly with regulators; oversee examinations and filings; identify and lead risk mitigation initiatives.
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
This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities.
Skills & Requirements
Must-have
Broker dealer and registered investment adviser environments
SEC, FINRA, MSRB, and state securities requirements
Investment Advisers Act of 1940
Build and scale compliance and risk programs
Manage litigation strategy
Oversee regulatory examinations and filings
Nice-to-have
Solutions-oriented mindset
No ego, team-oriented approach
Adaptability in fast-growing organization
Strategic, collaborative leader
Key Requirements
Series 4, 7, 14, 24, 53, 63, and 65/66 registrations
Deep experience in broker-dealer and RIA operations
Hands-on familiarity with retail brokerage, advisory platforms, annuity and alternative products
Proven ability to build, scale, and lead multi-entity compliance and risk programs
Experience building, coaching and managing teams of compliance officers