Chief Compliance Officer, Integrity Wealth

Lion Street / Integrity Wealth

Dallas, Texas, US
Not specified; not specified; competitive compensa...
Deep experience with broker-dealer and ria environments
Hands-on expertise with sec and finra regulations
Proven ability to build multi-entity compliance programs
This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform

Job Summary

  • This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform.
  • The ideal candidate brings deep experience within both broker dealer and registered investment adviser environments, including hands on expertise with investment products and securities regulations.
  • Integrity offers a competitive compensation package and a family-like environment where employees are supported daily in a hyper-growth company setting.

Matching Summary

This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform.

Salary

Not specified; Not specified; Competitive compensation package including benefits

Skills & Requirements

Must-have

  • Deep experience with broker-dealer and RIA environments
  • Hands-on expertise with SEC and FINRA regulations
  • Proven ability to build multi-entity compliance programs
  • Experience managing litigation and regulatory settlements
  • Strong knowledge of Investment Advisers Act of 1940

Nice-to-have

  • No-ego collaborative leadership style
  • Ability to simplify complex regulatory concepts
  • Experience with insurtech or fast-growth platforms
  • Technology-enabled oversight and testing mechanisms

Key Requirements

  • Series 4, 7, 14, 24, 53, 63, and 65/66 registrations
  • Extensive experience with MSRB and state securities requirements
  • Active management experience leading diverse compliance teams
  • Demonstrated credibility with regulators and auditors

Work Rights

Not specified

Tailored Resume

Cover Letter