Chief Compliance Officer, Integrity Wealth

Integrity

Dallas, TX, United States
Broker dealer and registered investment adviser environments
Sec and finra requirements
Lead regulatory compliance and enterprise risk
This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more

Job Summary

  • This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more.
  • This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities.
  • 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 executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more.

Skills & Requirements

Must-have

  • Broker dealer and registered investment adviser environments
  • SEC and FINRA requirements
  • Lead regulatory compliance and enterprise risk
  • Oversee examinations and filings
  • Manage litigation strategy

Nice-to-have

  • Strategic, collaborative, 'no ego' leader
  • Solutions-oriented mindset
  • Adaptability in a fast-growing organization

Key Requirements

  • Series 4, 7, 14, 24, 53, 63, 65/66
  • Deep experience with BD and RIA regulatory frameworks
  • Proven ability to build, scale, and lead multi-entity compliance programs

Work Rights

Not specified

Tailored Resume

Cover Letter